Lead Compliance Analyst - Park Avenue Securities

Guardian Life Lead Compliance Analyst - Park Avenue Securities

Location: Providence, Rhode Island

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.

Do you want to be part of a collaborative Legal Compliance Team?

As a Lead 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 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.

You have:

1. Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with familiarity of state insurance laws (inclusive of NAIC).
2. 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus.
3. Prior examination, auditing or testing experience.
4. Series 7 & 24 licenses required.
5. A bachelor’s degree preferred or equivalent work experience.
6. Strong interpersonal, organizational, and analytical skills.
7. Excellent written and verbal communication skills with comfort making presentations in various settings.
8. No restrictions on travel and extended periods away from home.

You will:

1. Conduct branch office inspections utilizing risk-based testing methodologies, including obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing.
2. Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures.
3. 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.
4. Timely communicate preliminary findings to your manager and branch office management verbally and then in writing.
5. Assist with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans.
6. Run multiple inspections simultaneously while timely delivering high-quality results.
7. Stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program.
8. Volunteer and assist on other department projects and initiatives.

Location/Travel:

Remote role with WFH flexibility. Travel to Guardian offices as needed when requested by the People Leader. Travel: 50% for business purposes.

Salary Range:

$66,130.00 - $108,640.00. The salary for this position will be determined based on the education, experience, knowledge, and abilities of the successful candidate.

At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. We provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Health Care:

• Choice of medical plans with prescription drugs, including coverage for fertility and transgender inclusive benefits.
• Vision plan.
• Health care accounts – flexible spending, health reimbursement, and health savings accounts.
• Critical illness insurance.

Life and Disability Insurance:

Company-paid Life and Disability insurance plus voluntary supplemental coverage.

Retirement and Financial:

401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable.

Time Off and Remote Work:

• Flexible work arrangements (part in-person/part remote).
• Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement.
• Paid parental leave and paid family and medical leave policies.

Equity & Inclusion:

Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to any classification protected by applicable law.

Accommodations:

Guardian is committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities.

Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.

Every day, Guardian helps our 29 million customers realize their dreams through a range of insurance and financial products and services. Learn more about Guardian at guardianlife.com.