Compliance Analyst
nassau financial groupBel Air, MD
$65,000-$80,000
APPLY (opens in a new tab)Compliance Analyst
nassau financial groupBel Air, MDMid L4
$65,000-$80,000
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMiscellaneous Intermediation
APPLY NOW (opens in a new tab)Compliance Specialist 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. Requires 2 years of experience in related areas. Principal Duties and 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
Knowledge, Skills and Abilities:
- 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 PowerPointExcellent written and verbal communication skills
- Ability to research and analyze non-routine problems
- Bachelor's degree or equivalent required
Benefits and Compensation:
Nassau offers medical, dental, vision, and dependent life insurance benefits to employees' spouses and dependent children. Benefit coverage begins on the date of hire (retroactively). In addition, we maintain a holistic compensation philosophy focused on competitive base salaries, performance driven incentives, and unique professional development opportunities. The combination of compensation, benefits, and an entrepreneurial culture along with related experiences is key to recruiting and retaining talent. Our compensation system is designed to reward performance, support development and job growth, and compensate individuals relative to their contribution to our organization. The base salary for this position falls within Nassau's salary band D: $65,000-$80,000 depending upon experience.
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Level
Mid L4
Salary
$65,000-$80,000
Location
Bel Air, MD
Occupation
Compliance Officers
Industry
Portfolio Management and Investment Advice
Posted
7 days ago