Compliance Analyst

Nassau Financial Group • Hartford, CT

40d • $65,000 - $80,000

About The Position

Follow established procedures and guidelines for variable life and annuity product filings and document 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 support regulatory examinations. The role requires two years of experience in related areas and a bachelor’s degree or equivalent.

Requirements

• Two years of experience in related areas.
• Bachelor’s degree or equivalent required.
• Strong organizational skills and ability to manage multiple large or complex documents concurrently.
• Knowledge of and experience with variable life and annuity products and related SEC requirements.
• High level of diligence and great attention to detail.
• Proficiency in Word, Excel, Adobe, and PowerPoint.
• Excellent written and verbal communication skills.
• Ability to research and analyze non-routine problems.

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 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 initiatives as needed.

Benefits

• Medical insurance, including coverage for employees’ spouses and dependent children; coverage begins on the date of hire (retroactively).
• Dental insurance, including coverage for employees’ spouses and dependent children; coverage begins on the date of hire (retroactively).
• Vision insurance, including coverage for employees’ spouses and dependent children; coverage begins on the date of hire (retroactively).
• Dependent life insurance for employees’ spouses and dependent children; coverage begins on the date of hire (retroactively).
• Performance-driven incentives.
• Professional development opportunities.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level