Compliance Analyst - SEC & AML Specialist (Variable Products)

Nassau Community College; 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

Competitive compensation

Job summary

Nassau Financial Group, based in Hartford, Connecticut, seeks a compliance professional to manage SEC filings for variable life and annuity products and support AML compliance activities. The role requires 2 years of related experience and a bachelor’s degree or equivalent.

The position offers a comprehensive benefits package and competitive base salary within Nassau’s salary band. The company emphasizes growth and development within a dynamic financial services platform.

Qualifications

• Bachelor’s degree or equivalent required.
• Strong organizational skills to manage large documents.
• Knowledge of variable life and annuity products and SEC requirements.
• Excellent written and verbal communication.

Responsibilities

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

Skills

Organization skills

Knowledge of variable life & annuity

Communication skills

Problem solving

MS Office

Education

Bachelor’s degree or equivalent

Tools

Word

Excel

Adobe

PowerPoint

Job description

Nassau Financial Group, based in Hartford, Connecticut, seeks a compliance professional to manage SEC filings for variable life and annuity products and support AML compliance activities. The role requires 2 years of related experience and a bachelor’s degree or equivalent.

The position offers a comprehensive benefits package and competitive base salary within Nassau’s salary band. The company emphasizes growth and development within a dynamic financial services platform.