Financial Compliance Analyst

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?

The Compliance team develops and oversees an effective compliance program to (i) promote adherence with applicable laws, regulations, and company policies, (ii) provide strategic advice to the enterprise regarding the implications of emerging regulations and risks, (iii) establish and implement controls and procedures to detect and remediate, or prevent, corporate misconduct and fraud, and (iv) support a culture of accountability and ethical leadership throughout the organization.

As a Financial Compliance Analyst, you will support the compliance program to ensure insurance products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with the applicable laws, regulations, and standards.

You have

• 2- 5 years of demonstrated experience in life/health insurance or wealth management industry, preferred.

• Mastery of the Microsoft Office Suite including MS Excel, Word, and PowerPoint

• Ability to measure and manage organization data, identify methodological best practices, and conduct statistical analysis.

• Strong analytical, problem-solving, and decision-making skills, and the ability to identify and resolve compliance issues and risks.

• Excellent communication, presentation, and interpersonal skills, and the ability to communicate and collaborate with various parties on compliance matters.

• Strong ability to multi‐task, prioritize, establish reasonable expectations, and work independently with an eye to detail.

• Perform in a fast-paced environment while maintaining Guardian’s high standards, reputation, and corporate culture.

• FINRA Series 6, 7 and 24, 26 or willingness to obtain is preferred.

You will

• Conduct audits, reviews, and assessments of insurance policies, procedures, and practices to identify potential areas of non-compliance.

• Identify, analyze, and report on compliance risks, issues, trends, patterns, and gaps, evaluate their potential impact on the organization. Collaborate with various business partners to implement effective risk mitigation strategies and recommend corrective actions or improvements.

• Identify, assess, and communicate current or emerging compliance trends, issues, and risks to management.

• Prepare reports by documenting findings, analyzing risk, and presenting actionable recommendations to senior management.

• Provide compliance support to operational teams, ensuring that day-to-day activities align with regulatory requirements.

• Implement compliance programs to ensure adherence to company policy and relevant insurance and securities regulations.

• Perform benchmarking analyses against industry peers to identify best practices and areas for improvement in compliance programs.

• Review and interpret new laws/regulations and industry standards to disseminate regulatory updates to relevant partners and collaborate with teams to address compliance requirements to ensure the organization remains compliant.

• Collaborate with business partners and other compliance colleagues to support business strategies and to resolve compliance inquiries or investigations.

• Analyzes business processes and workflows within the organization and identifies innovative approaches to redesign business activities or optimize performance, quality, and speed of processes.

• Complete detail-oriented tasks and assignments as needed.

Reporting Relationships

As our Compliance Analyst, you will report to the Head of Compliance Shared Services.

Location /Travel

Hybrid role: 3 days in the office, 2 days WFH in Bethlehem, PA or Hudson Yards, NYC.

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.

Our Promise

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.

Inspire Well-Being

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 www.guardianlife.com/careers/corporate/benefits. Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.

Equal Employment Opportunity

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.

Accommodations

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 [email protected].

Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.