Field Sales Representative
Cnect
Compliance Analyst
Guardian Life
full-time
Posted on:
Origin: • 🇺🇸 United States • New York, Pennsylvania
Visit company websiteSalary
💰 $67,450 - $110,815 per year
Job Level
Mid-LevelSenior
About the role
- Work as part of the Compliance team supporting Park Avenue Securities (PAS) and Park Avenue Investment Advisory (PAA)
- Implement compliance and regulatory processes to mitigate and reduce risk to the firm, its clients, and associated persons
- Advise and consult with Compliance colleagues and internal business partners on applicable laws, regulations, and compliance standards
- Assist with the Firm’s compliance testing program and review/maintenance of related policies and procedures
- Assist in preparation of required regulatory filings
- Collaborate with senior Law, Compliance, and PAS business personnel on projects assessing regulatory compliance across business functional areas
- Support implementation of new retail wealth management products and services
- Prepare compliance metrics and participate in data analytics initiatives to improve program effectiveness and efficiencies
- Report to the Compliance Leader; hybrid role (3 days in office, 2 days WFH) based in Bethlehem, PA or Hudson Yards, NYC
Requirements
- Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations; familiarity with state insurance laws (inclusive of NAIC)
- 3-5 years of broker-dealer and registered investment adviser compliance experience
- Series 7; Series 24 licenses required or must be obtained within 120 days
- Bachelor's degree
- Strong data analytical, interpersonal, and organizational skills
- Excellent written and verbal communication skills with comfort making presentations
- Enthusiastic, self-motivated, high-energy; ability to multi-task, prioritize, and work independently and in teams
- No restrictions on travel and extended periods away from home
- Experience at an insurance-affiliated broker/dealer is a plus
