Compliance Officer at Scania managing the implementation of compliance systems and fostering a culture of integrity. Providing advisory support and promoting compliance within the organization.
About the role
- Compliance Analyst ensuring adherence to compliance standards in Guardian's retail wealth management business. Collaborating with internal teams and supporting regulatory processes and procedures.
Responsibilities
- Advise and consult with Compliance colleagues and internal business partners
- Assist with the Firm’s Compliance testing program
- Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas
- Prepare relevant compliance metrics
Requirements
- 3-5 years of broker-dealer and registered investment advisor compliance experience
- Series 7; 24 licenses required or obtained within 120 days
- Bachelor’s degree
- Strong data analytical, interpersonal, and organizational skills
- Excellent written and verbal communication skills
Benefits
- Health insurance
- Flexible work arrangements
- Professional development opportunities
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