Compliance Analyst: Variable Life & AML (SEC)

The Nassau Companies of New York; Hartford (CT); On-site; USD 65,000 - 80,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Dependent life insurance

Job summary

Nassau Financial Group, based in Hartford, Connecticut, is seeking a compliance professional to manage the lifecycle of variable life and annuity filings and related SEC requirements. You will coordinate with vendors, ensure document delivery to customers, and retain final materials for audit purposes.

The role requires 2 years of experience in related areas, strong organization, and proficiency in Word/Excel/Adobe/PowerPoint, with a focus on AML compliance and regulatory examinations.

Qualifications

• Bachelor’s degree or equivalent required.
• Knowledge of variable life and annuity products and SEC requirements.
• Excellent written and verbal communication.
• Proficient in 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 for easy 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

Strong organization

Attention to detail

Communication

Research & problem analysis

Education

Bachelor's degree or equivalent

Tools

Word

Excel

Adobe

PowerPoint

Job description

Nassau Financial Group, based in Hartford, Connecticut, is seeking a compliance professional to manage the lifecycle of variable life and annuity filings and related SEC requirements. You will coordinate with vendors, ensure document delivery to customers, and retain final materials for audit purposes.

The role requires 2 years of experience in related areas, strong organization, and proficiency in Word/Excel/Adobe/PowerPoint, with a focus on AML compliance and regulatory examinations.