Compliance Sr. Analyst (Hybrid)
About The Position
Securian Financial’s Law and Corporate Compliance Department is seeking a Senior Compliance Analyst to provide compliance support to the Affinity Solutions division and its third-party administrators. The role helps manage risk and ensure products and advertising meet regulatory standards. Work includes policy form development, advertising material review, and addressing regulatory matters during the objection-response phase. The position has a hybrid working arrangement and requires working in the office at least three days per week. Associates within a commutable distance of 90 minutes are expected to work from the office three days each week, with flexibility for business and personal schedules.
Requirements
- Associate’s degree, bachelor’s degree, or equivalent job-related experience.
- Strong interpersonal and communication skills to interact with associates at various levels of the enterprise.
- Strong prioritization and organization skills to coordinate compliance reviews.
- Self-directed, with the ability to independently manage competing priorities with minimal direction.
- Ability to solve problems using available resources.
Nice To Haves
- Knowledge of applicable laws, regulations, industry standards, and best practices affecting financial services.
- Familiarity with financial institution and association insurance products and services.
- Policy form filing experience using SERFF.
- Advertising compliance review experience for financial services or insurance products.
Responsibilities
- Monitor and analyze products, advertising materials, and reports for compliance.
- Ensure products comply with insurance laws, regulations, and company policies.
- Troubleshoot compliance issues with third-party administrators.
- Strengthen compliance programs, provide training, and map business processes to compliance rules.
- Gather data for regulatory filings and work with internal associates and third parties.
- Participate in annual audits of third-party administrators.
- Support and lead compliance projects, including drafting requirements and implementing changes.
- Draft and file policy forms to ensure legal compliance, coordinating with relevant parties.
- Respond to regulatory issues during the objection-response phase.
- Assist with market conduct exams and regulatory surveys.
- Monitor and disseminate changes to laws and regulations.
- Conduct compliance reviews and file sales literature and advertising.
- Provide day-to-day compliance support and maintain existing policy forms.
Benefits
- Flexible paid time off, with additional PTO based on length of service.
- Flexible leave programs, including parental, caregiver, bereavement, and military leave.
- Nine company-paid holidays.
- Company-funded pension plan.
- 401(k) retirement plan with company contributions tied to company performance, up to 10% of eligible earnings, with a target of 5%.
- Medical, dental, and vision coverage for associates and eligible family members, available from the first day of employment.
- Paid volunteer time and a dollar-for-dollar matching gift program.
- Associate Resource Groups for connection and relationship-building.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
Associate degree
