Compliance Analyst

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 Departments Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardians purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst III, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that various compliance and regulatory processes and procedures are implemented to mitigate and reduce risk to the firm, its clients, and the firm's associated persons. You are 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. You will Advise and consult with various Compliance colleagues and internal business partners to ensure firm compliance with applicable laws, regulations, and compliance standards impacting Guardian's retail wealth management business, including its affiliated broker-dealer and investment adviser entities. Assist with the Firms Compliance testing program and the review and maintenance of related compliance policies and procedures. Assist in the preparation of required regulatory filings. Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas to perform high quality, value-added projects assessing the firm's overall regulatory compliance in various business functional areas. Assist the Compliance department's efforts in supporting the implementation of new retail wealth management products and services. Prepare relevant compliance metrics that help identify and improve Compliance operational efficiencies. Participate and help lead data analytic initiatives and thinking to improve the overall compliance program effectiveness and efficiencies. You have 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, experience at an insurance-affiliated broker/dealer is a plus. Series 7; 24 licenses required or obtained within 120 days. A bachelors degree Strong data analytical, interpersonal, and organizational skills. Excellent written and verbal communication skills with comfort making presentations in various settings. No restrictions on travel and extended periods away from home. Reporting Relationships As our Compliance Analyst, you will report to the Compliance Leader. Location /Travel Hybrid role: 3 days a week in the office, 2 days WFH. Locations: Bethlehem, PA or Hudson Yards, NYC Salary Range: $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. Our Promise At Guardian, youll 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. Inspire Well-Being As part of Guardians Purpose to inspire well-being we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits. Equal Employment Opportunity 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. Accommodations Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact applicant_accommodation@glic.com. 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. Our Purpose, to inspire well-being, guides our dedication to the colleagues, consumers, and communities we serve. We know that people count, and we go above and beyond to prepare them for the life they want to live, focusing on their overall well-being mind, body, and wallet. As one of the largest mutual insurance companies, we put our customers first. Behind every bright future is a GuardianTM. Learn more about Guardian at guardianlife.com.