Guided by our company Purpose of "Inspiring well-being for our colleagues, consumers, and communities," we are committed to building a best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance, and Government Affairs functions, aligned to "what" we deliver (i.e., our goals and objectives) and "how" we demonstrate our values and behaviors while focusing on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness, ability to demonstrate business savvy, being a subject matter expert, all while supporting the Law Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team?
As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the results verbally and in writing to various partners.
An enthusiastic, self-motivated, high-energy individual who enjoys working in a team environment while executing responsibilities independently. Your ability to multi-task but prioritize allows you to deliver high-quality results in a timely fashion.
+ Conduct branch office inspections utilizing risk-based testing methodologies. This includes obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing.
+ Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures.
+ Use the results of your risk-based testing in conjunction with your expertise and judgment to assess the adequacy and effectiveness of the control environment in the branch office.
+ Timely communicate preliminary findings to your manager and branch office management verbally and then in writing.
+ Assist, as appropriate, with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans.
+ Run multiple inspections simultaneously while timely delivering high-quality results.
+ Stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program.
+ Volunteer and otherwise assist on other department projects and initiatives.
+ Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance laws (inclusive of NAIC).
+ 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus.
+ Prior examination, auditing or testing experience.
+ Series 7; 24 licenses required or obtained within 120 days.
+ A bachelor's degree.
+ Strong interpersonal, organizational, and analytical skills.
+ Excellent written and verbal communication skills with comfort making presentations in various settings.
+ No restrictions on travel and extended periods away from home.
As our Compliance Analyst, you will report to the Compliance Leader.
Remote role with WFH flexibility. Travel to Guardian offices as needed when requested by the People Leader. Travel: 50% for business purposes.
$67,450.00 - $110,815.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
At Guardian, you'll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law. Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities.
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