Compliance Analyst

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

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Dependent life insurance

Professional development opportunities

Performance-based incentives

Job summary

Nassau Financial Group in Hartford, CT is seeking a Compliance Analyst to manage SEC filings for variable life and annuity products and to support AML compliance activities and regulatory examinations. The role requires at least 2 years of related experience and a bachelor’s degree or equivalent.

You will update registration statements to meet SEC requirements, coordinate filings with a vendor, retain final materials, and assist with AML due diligence, risk assessments, and audits across

Qualifications

• Bachelor’s degree or equivalent required.
• Experience with variable life and annuity products and related SEC requirements preferred.
• Ability to manage multiple large/complex documents concurrently.
• Strong written and verbal communication skills.
• Proficiency with Word, Excel, Adobe and PowerPoint.

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

Organizational skills

Life & annuity product knowledge

Attention to detail

Written and verbal communication

Research and problem solving

Education

Bachelor’s degree or equivalent

Tools

MS Word

Excel

Adobe Acrobat

PowerPoint

Job description

Job Summary

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 PowerPoint
• Excellent 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.

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.

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.