Idaho Staffing
Senior Compliance Analyst - Park Avenue Securities
Idaho Staffing, Boise, Idaho, United States, 83708
Senior Compliance Analyst, Park Avenue Securities And Park Avenue Investment Advisory
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 Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the results verbally and in writing to various partners. 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 conduct branch office inspections utilizing risk-based testing methodologies. This includes obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing. You will review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures. You will use the results of your risk-based testing in conjunction with your expertise and judgment to assess the adequacy and effectiveness of the control environment in the branch office. You will timely communicate preliminary findings to your manager and branch office management verbally and then in writing. You will assist, as appropriate, with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans. You will run multiple inspections simultaneously while timely delivering high-quality results. You will stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program. You will volunteer and otherwise assist on other department projects and initiatives. 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). You have 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus. You have prior examination, auditing or testing experience. You have a Series 7; 24 licenses required or obtained within 120 days. You have a bachelor's degree. You have strong interpersonal, organizational, and analytical skills. You have excellent written and verbal communication skills with comfort making presentations in various settings. You have 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 Remote role with WFH flexibility. Travel to Guardian offices as needed when requested by the People Leader. Travel: 50% for business purposes. 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. At Guardian, you'll 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. As part of Guardian's 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 . Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits. 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. 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@.
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 Department's Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian's purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the results verbally and in writing to various partners. 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 conduct branch office inspections utilizing risk-based testing methodologies. This includes obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing. You will review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures. You will use the results of your risk-based testing in conjunction with your expertise and judgment to assess the adequacy and effectiveness of the control environment in the branch office. You will timely communicate preliminary findings to your manager and branch office management verbally and then in writing. You will assist, as appropriate, with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans. You will run multiple inspections simultaneously while timely delivering high-quality results. You will stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program. You will volunteer and otherwise assist on other department projects and initiatives. 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). You have 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus. You have prior examination, auditing or testing experience. You have a Series 7; 24 licenses required or obtained within 120 days. You have a bachelor's degree. You have strong interpersonal, organizational, and analytical skills. You have excellent written and verbal communication skills with comfort making presentations in various settings. You have 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 Remote role with WFH flexibility. Travel to Guardian offices as needed when requested by the People Leader. Travel: 50% for business purposes. 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. At Guardian, you'll 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. As part of Guardian's 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 . Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits. 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. 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@.