Compliance Analyst - SEC Filings & AML Expert

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

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