Compliance Analyst

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

Benefits offered by this job

Medical benefits

Dental benefits

Vision benefits

Dependent life insurance

Job summary

Nassau Financial Group, based in Hartford, Connecticut, seeks a Compliance Specialist to follow procedures for variable life and annuity product filings and document delivery to ensure SEC regulatory compliance. This role supports AML compliance activities and regulatory examinations, requiring 2 years of related experience.

Responsibilities include updating registration statements, coordinating SEC filings with a vendor, retaining materials, and assisting with AML due diligence and audits.

Qualifications

• Bachelor’s degree or equivalent required.
• Strong organizational skills with ability to manage multiple large/complex documents.
• Knowledge of variable life and annuity products and SEC requirements.
• High level of diligence and great attention to detail.
• Excellent written and verbal communication skills.
• Ability to research and analyze non-routine problems.

Responsibilities

• Update variable life/annuity product registration statements to SEC requirements.
• Coordinate with vendors to file SEC documents and deliver to customers.
• Retain final SEC filing materials for easy access and retrieval.
• Conduct separate accounts testing at least annually.
• Manage AML compliance training.
• Support AML due diligence, risk assessment and audits.
• Assist with regulatory examinations and other compliance initiatives.

Skills

Organizational skills

AML compliance

Strong written and verbalcommunication

Research and analysis

Education

Bachelor’s degree or equivalent

Tools

Word

Excel

Adobe

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.

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.