Compliance Analyst
Nassau•Hartford, CT
•Onsite
About The Position
Follow established procedures and guidelines for variable life and annuity product filings and documents delivery to ensure Nassau’s compliance with SEC regulatory requirements. Support other compliance matters for variable products. Assist with Anti-Money Laundering (“AML”) compliance activities and regulatory examinations.
Requirements
- 2 years of experience in related areas
- Strong organization skills and able to manage multiple large/complex documents concurrently
- Knowledge of and experience in variable life and annuity products and related SEC requirements
- High level of diligence and great attention to details
- Proficient in Word, Excel, Adobe and PowerPoint
- Excellent written and verbal communication skills
- Ability to research and analyze non-routine problems
- Bachelor’s degree or equivalent required
Responsibilities
- Update variable life and annuity product registration statements to comply with SEC requirements
- Coordinate with a vendor to file documents with the SEC and deliver documents to customers
- Retain all final SEC filing materials so they are easily accessible and retrievable
- Conduct separate accounts testing at least annually
- Manage AML compliance training
- Support AML customer due diligence, risk assessment, and audit
- Assist with regulatory examinations
- Support other compliance initiative as needed
Benefits
- Medical insurance
- Dental insurance
- Vision insurance
- Dependent life insurance benefits to employees' spouses and dependent children
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
