Compliance & AML Analyst: SEC Filings & Risk

Nassau Financial Group; Hartford (CT); On-site; USD 65,000 - 80,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Dependent life insurance

Job summary

Nassau Financial Group, based in Hartford, Connecticut, seeks a Compliance professional to manage variable life and annuity product filings and document delivery to ensure SEC regulatory compliance. The role supports AML compliance activities and regulatory examinations, with a baseline requirement of 2 years of related experience.

Key duties include updating SEC registration statements, coordinating with vendors to file with the SEC and deliver documents to customers, and maintaining accessible

Qualifications

• Bachelor’s degree or equivalent required.
• Strong organization skills and ability to manage multiple large/complex documents.
• Knowledge of variable life and annuity products and related SEC requirements.
• High level of diligence and great attention to details.
• Proficient in Word, Excel, Adobe and PowerPoint.
• Excellent written and verbal communication skills.
• Ability to research and analyze non-routine problems.

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.

Skills

Strong organization

Variable life and annuity knowledge

Attention to detail

Microsoft Word

Microsoft Excel

PowerPoint

Written and verbal communication

Research and analysis

Education

Bachelor’s degree or equivalent

Tools

Adobe

Job description

Nassau Financial Group, based in Hartford, Connecticut, seeks a Compliance professional to manage variable life and annuity product filings and document delivery to ensure SEC regulatory compliance. The role supports AML compliance activities and regulatory examinations, with a baseline requirement of 2 years of related experience.

Key duties include updating SEC registration statements, coordinating with vendors to file with the SEC and deliver documents to customers, and maintaining accessible