Compliance Analyst

About the role

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.

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 initiatives as needed

Requirements

Requires 2 years of experience in related areas.

Qualifications

Bachelor’s degree or equivalent required.

Skills

• 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

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Dependent life insurance for employees' spouses and dependent children
• Benefit coverage begins on the date of hire (retroactively)

Pay

The base salary for this position falls within Nassau’s salary band D: $65,000‑$80,000 depending upon experience.