Compliance Analyst - Guardian Life Insurance Company of America

Are you a compliance professional passionate about regulatory adherence in financial services? Join Guardian Life's dynamic Law Department as a Compliance Analyst for Park Avenue Securities (PAS) and Park Avenue Investment Advisory (PAA). Located in the heart of New York, this hybrid role offers a chance to mitigate risks, ensure regulatory compliance, and drive strategic solutions in retail wealth management.

Why Join Guardian Life?

Guided by our company Purpose of “Inspiring well-being for our colleagues, consumers, and communities,” Guardian Life is committed to building a best-in-class Law Department. We foster a high-performance culture across Legal, Compliance, and Government Affairs, emphasizing accountability, interpersonal effectiveness, business savvy, and subject matter expertise. Our mission is to serve as a trusted advocate and advisor, advancing Guardian’s purpose, priorities, and values.

Be part of a collaborative Compliance Legal Team in a supportive environment that values work-life balance. With hybrid flexibility (3 days in-office at Hudson Yards, NYC or Bethlehem, PA; 2 days WFH), you'll thrive surrounded by diverse colleagues with high ethical standards. Guardian offers skill-building, leadership development, and philanthropic opportunities to grow your career while inspiring well-being.

Role Description

The Compliance Analyst plays a pivotal role in ensuring that compliance and regulatory processes are robustly implemented to mitigate risks for the firm, its clients, and associated persons. Reporting to the Compliance Leader, you'll advise on laws, regulations, and standards impacting Guardian's broker-dealer and investment adviser entities. This position demands an enthusiastic, self-motivated individual who excels in team settings while executing tasks independently, multitasking with prioritization for high-quality, timely results.

Detailed Responsibilities

Key Duties Include:

• Advise and consult with Compliance colleagues and business partners to ensure firm-wide compliance with FINRA, SEC, state rules, and insurance laws (including NAIC) in retail wealth management.
• Assist with the Firm’s Compliance testing program, including review and maintenance of policies and procedures.
• Prepare required regulatory filings and collaborate on high-quality projects assessing regulatory compliance across business areas.
• Support implementation of new retail wealth management products and services.
• Prepare compliance metrics to identify and enhance operational efficiencies.
• Lead data analytic initiatives to improve compliance program effectiveness and efficiencies.
• Collaborate with Law, Compliance, and PAS teams on value-added projects.
• Monitor and report on compliance risks in broker-dealer and RIA operations.

Required Skills

Guardian Life seeks candidates with:

• Broad knowledge of financial services industry regulations (FINRA, SEC, State, NAIC).
• Strong data analytical skills for metrics and program improvements.
• Excellent interpersonal and organizational abilities.
• Superior written and verbal communication, including presentation skills.
• Business savvy and ability to prioritize in fast-paced environments.
• Proficiency in compliance testing and policy development.
• Experience with regulatory filings and risk mitigation.

Education & Experience

• 3-5 years of broker-dealer and registered investment advisor compliance experience (insurance-affiliated preferred).
• Series 7 and Series 24 licenses required (or obtained within 120 days).
• Bachelor’s degree in finance, business, law, or related field.
• Familiarity with state insurance laws a plus.

Compensation Overview

Salary Range: $82,770 - $135,975 annually. This good faith estimate reflects base pay for the New York location. Final salary depends on education, experience, knowledge, and abilities. Eligible for annual, sales, or incentive compensation.

Benefits

At Guardian, enjoy contemporary, supportive, flexible, and inclusive benefits including health insurance, retirement plans, paid time off, and more. Explore full details at www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time employees.

Join Guardian Life today as a Compliance Analyst and contribute to a purpose-driven organization. Apply now for this exciting New York-based opportunity in financial compliance!