Compliance Analyst

Nassau-Financial-Group; Coltville (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, is seeking a Compliance professional to follow procedures for variable life and annuity product filings and document delivery to ensure SEC compliance. The role supports AML activities and regulatory examinations with experience in related areas and a Bachelor’s degree or equivalent.

The position emphasizes meticulous document handling, training, and collaboration with vendors, while maintaining access to all SEC filing materials and

Qualifications

• 2 years of experience in related areas.

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 for easy access and retrieval.
• 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 initiatives as needed.

Skills

Organizational skills

Written & verbal communication

Regulatory compliance

AML awareness

Education

Bachelor's degree or equivalent

Tools

Microsoft Word

Excel

Adobe Acrobat

PowerPoint

Job description

Job SummaryFollow 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 ResponsibilitiesUpdate variable life and annuity product registration statements to comply with SEC requirementsCoordinate with a vendor to file documents with the SEC and deliver documents to customersRetain all final SEC filing materials so they are easily accessible and retrievableConduct separate accounts testing at least annuallyManage AML compliance trainingSupport AML customer due diligence, risk assessment, and auditAssist with regulatory examinationsSupport other compliance initiative as neededKnowledge, Skills and AbilitiesStrong organization skills and able to manage multiple large/complex documents concurrentlyKnowledge of and experience in variable life and annuity products and related SEC requirementsHigh level of diligence and great attention to detailsProficient in Word, Excel, Adobe and PowerPointExcellent written and verbal communication skillsAbility to research and analyze non-routine problemsBachelor’s degree or equivalent requiredBenefits and CompensationNassau 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.View our employee benefits here.The base salary for this position falls within Nassau’s salary band D: $65,000-$80,000 depending upon experience.Visit our Careers page and apply online at http://www.nfg.com/.Based in Hartford, Connecticut, Nassau Financial Group is a growth focused and digitally enabled financial services company with a fully integrated platform across insurance and asset management. Nassau was founded in 2015 and has grown to $1.6 billion in total adjusted capital, $24.8 billion in assets under management, and 350,000+ policies and contracts as of June 30, 2026.As part of a young and growing financial services enterprise, our employees are tapping into a new entrepreneurial spirit while they build on a long track record of putting customers first, understanding the evolving income and protection needs, and developing quality products to meet those needs.Nassau provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.