Company Description: As one of the nation's leading providers of individual disability income insurance, we preserve the dignity and protect the lifestyles of American families in financial and emotional crisis due to injury or serious illness.
It takes special people to do this type of work: people with vision and compassion, intelligence and enthusiasm. For applicants who embody these qualities, Berkshire Life, A Guardian Company, offers a broad range of employment opportunities - from entry level to highly skilled, from technical to creative.
At Berkshire Life, we recognize that employees who care about their communities are well suited for the business of helping our clients.
Compliance Analyst III Branch Examiner - Remote/WFH opportunity!
Some High School Coursework
The objective of the Compliance Analyst III Branch Examiner position is to conduct on-site audits of agencies, branch office locations, as well as various departments in our home office. Examinations are conducted to ensure that regulatory and broker-dealer policies, procedures and requirements are adhered to as per FINRA Rule 3010 and Consolidated Rule 3110. The Branch Examiner will identify areas of non-compliance, present findings in-person to the agency supervisors, document findings through written reports addressed to agency and department management, and ultimately ensure that action plans are designed and implemented by the agencies to avoid recurrence of compliance issues. The Branch Examiner identifies areas for improvement and assists in training on-site to help agency personnel comply with requirements.
The Branch Examiner is responsible for pre-examination preparation, booking travel, on-site completion of the program, documentation of results, and tracking and completion of all assigned examinations. The Branch Examiner will also lead in-person annual compliance meetings, participate in special assignments, training efforts, and project teams to improve the overall compliance program.
* Travel to and conduct on-site field examinations.
* Prepare work ahead of examination, conduct interviews on-site, issue written deficiency reports upon completion of the examination, and review and ensure that remediation/action plans are satisfactory.
* Identify, develop and deploy compliance tools to the field.
* Further develop and update the Branch Examination Program to ensure compliance with regulatory and internal requirements.
* Perform other duties as assigned, including special investigations, projects, and assignments.
Skills and Knowledge
* Strong attention to detail.
* Broad knowledge of securities industry rules and regulations.
* Ability to maximize and manage time effectively.
* Demonstrated leadership abilities.
* Highly developed organizational, analytical and investigative skills.
* Ability to make presentations in large group settings.
* Excellent oral and written communication skills.
* Technological proficiency, including Microsoft Suite (Word, Excel, PowerPoint).
* Comfort with travel and extended periods away from home.
* Present and project a highly professional appearance and representation of the home office compliance function.
* Ability to adapt to different working environments and cultures.
* Flexibility to work both independently and within a team environment, as well as remotely.
Education and Licensing
* Must have a Bachelor’s Degree.
* Must have Series 7 & 24 licenses.
* Completion of 65/66 exams will be expected if not already attained.
* Minimum 4-6 years’ experience, preferably with an insurance affiliated broker/dealer.
* Must have a valid driver's license.
* Position requires approximately 30% travel.
* Proficiency in MS Word, PowerPoint, Excel.
The Guardian Life Insurance Company of America® (Guardian), currently ranked #218 on the Fortune 500, is one of the largest mutual life insurers. As of December 31, 2016, Guardian reports $1.5 billion in operating income, $7.4 billion in capital, and $66.5 billion in assets under management.
Guardian consistently scores high marks for financial strength from all four major credit rating agencies and enjoys a strong competitive position in its major businesses: life insurance, disability income insurance, annuities, investments, dental and vision insurance and employee benefits.
As a mutual company founded over 150 years ago, Guardian is owned by its policyholders. The company has paid dividends to policyholders every year since 1868 and the Company’s 8,800 employees and 2,750 financial representatives are aligned with its mission to help individuals, families, and small businesses achieve financial security and protection.
Guardian states its aspiration in the following way: “To be the trusted mutual partner, delivering financial security how, when, and where our clients prefer.”
Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.