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Senior Financial Regulatory Specialist
2 semanas atrás
Guardian Life seeks a Compliance Analyst III to join its collaborative Compliance Legal Team. The successful candidate will ensure compliance processes and procedures are implemented to mitigate risk.
About the RoleThe Compliance Analyst III will work on implementing compliance processes, ensuring firm compliance with applicable laws and regulations. This includes providing advice and consulting with Compliance colleagues and internal business partners.
Key Responsibilities- Provide guidance to Compliance colleagues and internal business partners on firm compliance.
- Assist in the review and maintenance of related compliance policies and procedures.
- Collaborate with senior personnel in Law, Compliance, and PAS business areas to perform high quality projects assessing firm regulatory compliance.
- Support the implementation of new retail wealth management products and services.
- Prepare relevant compliance metrics that help identify and improve operational efficiencies.
- Broad knowledge of financial services industry and FINRA, SEC, and State rules and regulations.
- 3-5 years of broker-dealer and registered investment advisor compliance experience.
- Series 7; 24 licenses required or obtained within 120 days.
- A bachelor's degree.
- Strong data analytical, interpersonal, and organizational skills.
- Excellent written and verbal communication skills with comfort making presentations.