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    Compliance Officer, Park Avenue Securities - New York, United States - Guardian Life Insurance Company

    Guardian Life Insurance Company
    Guardian Life Insurance Company New York, United States

    18 hours ago

    Default job background
    Description

    We are looking for a Chief Compliance Officer for Park Avenue Securities (PAS). This role involves representing the firm to regulatory bodies and stakeholders, overseeing the compliance framework for PAS as a dually registered broker-dealer and investment adviser.

    The ideal candidate will be responsible for implementing and interpreting SEC, FINRA, MSRB laws, and other regulations to ensure PAS remains compliant. Moreover, they will lead a team providing guidance to business partners, conducting oversight of daily transactions, and investigating any violations of firm policies and regulatory requirements.

    You Are

    • Capable of handling conflict situations effectively and fostering a cooperative team environment
    • Quick at identifying and mitigating risk exposures within a complex financial organization
    • An astute business leader who implements strategies to deliver timely results
    • Able to balance competing interests and act as a resource for various constituencies
    • An impactful manager skilled at problem resolution and staff development

    You Will

    • Build a strong relationship with Legal and Compliance staff and oversee staff in the Compliance Department
    • Maintain updated Policies and Procedures and provide compliance-related training
    • Collaborate with other departments on compliance programs and proactively address regulatory issues
    • Be actively involved in industry forums and contribute to PAS's strategic direction
    • Participate in self-assessment programs and regulatory filings

    You Have

    • An undergraduate degree (JD preferred) along with Series 7 and 24 certifications
    • Minimum of 7 years' experience in a similar role within a financial services organization
    • Strong knowledge of the securities industry and regulatory environment
    • Excellent project management and communication skills
    • Inter-personal relationship skills

    Location

    • New York, New York (Hudson Yards) 2 days per week, 3 days WFH

    Salary Range

    $148, $244,745.00

    The salary range provided is an estimate and will be based on the candidate's qualifications and experience.

    Our Promise

    At Guardian, we support your professional and personal growth through skill-building, leadership development, and philanthropic opportunities.

    Inspire Well-Being

    We are committed to providing contemporary and inclusive benefits for our colleagues to inspire well-being.

    Health Care

    • Comprehensive medical, dental, vision plans
    • Health care accounts and critical illness insurance

    Life and Disability Insurance

    • Company-paid coverage plus voluntary supplemental options
    • Accident insurance

    Retirement and Financial

    • 401(k) plan with company match and financial guidance

    Time Off and Remote Work

    • Flexible work arrangements and unlimited paid time off
    • Paid parental leave and holidays

    Emotional Well-being and Work-Life

    • Wellness programs and support resources
    • Back-up care support and adoption assistance

    Guardian is an equal opportunity employer providing accommodations for individuals with disabilities. Join us in creating a diverse and inclusive workplace.

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