Senior Compliance Analyst – Park Avenue Securities Position Available In Essex, Massachusetts

Job Listing ID:

4292932

Job Title:

Senior Compliance Analyst –

Park Avenue Securities Application Deadline:

Open Until Filled

Job Location:

Salem

Date Posted:

06/17/2025

Hours Worked Per Week:

Not Provided Shift:

Not Provided Duration of Job:

Either Full or Part Time, more than 6 months You may contact this employer directly.
(Obtain the contact information to print or add to your jobs.)

Job Summary:

Guided by our company Purpose of “Inspiring well-being for our colleagues, consumers, and communities,” we are committed to building a best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance, and Government Affairs functions, aligned to “what” we deliver (i.e., our goals and objectives) and “how” we demonstrate our values and behaviors while focusing on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness, ability to demonstrate business savvy, being a subject matter expert, all while supporting the Law Department’s Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian’s purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch office inspection, executing the plan, and delivering the results verbally and in writing to various partners. You are An enthusiastic, self-motivated, high-energy individual who enjoys working in a team environment while executing responsibilities independently. Your ability to multi-task but prioritize allows you to deliver high-quality results in a timely fashion. You will Conduct branch office inspections utilizing risk-based testing methodologies. This includes obtaining background information, analyzing data, determining relevant sample sizes, and conducting testing. Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures. Use the results of your risk-based testing in conjunction with your expertise and judgment to assess the adequacy and effectiveness of the control environment in the branch office. Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. Assist, as appropriate, with corrective action plans to ensure proper remediation is taken at the branch office and verify the completion of plans. Run multiple inspections simultaneously while timely delivering high-quality results. Stay current with industry and regulatory developments and proactively identify opportunities to improve the branch office program. Volunteer and otherwise assist on other department projects and initiatives. You have Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance laws (inclusive of NAIC). 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer as a plus. Prior examination, auditing or testing experience. Series 7; 24 licenses required or obtained within 120 days. A bachelor’s degree Strong interpersonal, organizational, and analytical skills. Excellent written and verbal communication skills with comfort making presentations in various settings. No restrictions on travel and extended periods away from home. Reporting Relationships As our Compliance Analyst, you will report to the Compliance Leader. Location /Travel Remote role with WFH flexibility. Travel to Guardian offices as needed when requested by the People …

Job Classification:

Financial Examiners Access our statewide or regional occupation report for more information about wages,
employment outlooks, skills, training programs, related occupations, and more. Compensation

Salary:

Not Provided Job Requirements

Experience Required:

 See Job Summary

Education Required:

None

Minimum Age:

N/A Gender:

N/A