Compliance Analyst Ii

About the role

As a Compliance Analyst II, you will assist in leading project initiatives, serving as a functional expert in specified areas. You’ll establish and implement standard policies, procedures and processes to promote compliance with applicable laws and contractual obligations. You’ll also assist with regulatory examinations, compliance monitoring efforts, product design and filings requirements as needed.

What you will do

• Provide registration and disclosure support to our internal partners including filing, maintaining, and updating disclosure information with FINRA.
• Screen prospective employees for risk and suitability concerns and review adverse fingerprint inquiries and provide documentation to regulators for individuals associated with the Firm.
• Coordinate and respond to regulators to resolve discrepancies related to disclosure filings.
• Ensure that all advertising and marketing complies with applicable laws and regulations. Review marketing material for consistency with regulatory standards including state insurance, NAIC & FINRA regulation and approve materials.
• Communicate and educate effectively regarding the review of collateral and key initiative items including but not limited to, seminars, websites, website pages, promotional materials, press releases, social media, etc.
• Develop and implement procedures, standard processes and controls as they relate to our functions.
• Support annual Compliance processes related to regulatory inquiries, continuing education, testing, training and attestations.
• Independently work on regulatory analysis projects.
• Use best practices and knowledge of internal or external business issues to improve products or services.
• Cultivate relationships with clients; build a network of contacts that provide quick access to information.
• Solve problems effectively; identify the relevant issues, capture needed information and input, and apply sound reasoning.
• Rely on extensive experience and judgment to plan and accomplish goals.
• Stay current on industry trends that impact the business.
• Promote customer focus in all interactions.
• Maintain a positive outlook and focus on delivering work results during times of significant change.
• Coach, train and support team members as needed.

Why work at Symetra

“If you want to work for a company that is always considering its employees while working towards sustainable growth this is that company. Within Symetra, there is always innovation, empowerment, and growth opportunities, all while providing us with a great work/life balance and incredible benefits for a very reasonable cost!” - Cindy G., Program Manager

“We're big enough to make an impact on the country, but small enough to care and know who you are and what you're contributing to the organization. All new ideas are welcome!” Stephanie F., VP Customer Service & Operations

“If you're looking for a place to call home, grow professionally and personally and most importantly, be yourself, Symetra is the right fit.” - Daniel P., Senior Underwriter

What we offer you

We don’t take a “one-size-fits-all” approach when it comes to our employees. Our programs are designed to make your life better both at work and at home.

• Flexible full-time or hybrid telecommuting arrangements
• Plan for your future with our 401(k) plan and take advantage of immediate vesting and company matching up to 6%
• Paid time away including vacation and sick time, flex days and ten paid holidays
• Give back to your community and double your impact through our company matching
• Want more details? Check out our Symetra Benefits Overview

Compensation

$68,500 - $114,100 annually plus eligibility for Company Annual Bonus

Who you are

• College degree or equivalent experience
• At least 5 years of relevant compliance experience, including broker dealer experience
• Strong understanding of business operations and of the related legislative, regulatory, and in-house compliance policy requirements
• Knowledge of FINRA/SEC rules related to Broker/Dealer and product underwriting are highly desirable.
• FINRA Series 6 or 7 required, FINRA Series 26/24 preferred
• Strong verbal and written communication skills and superior attention to detail
• Proficiency with FINRA’s WebCRD,
• Excellent organizational skills to succeed in a fast-paced environment

We empower inclusion

At Symetra, we aspire to be the most inclusive insurance company in the country. We’re building a place where every employee feels valued, respected, and has opportunities to contribute. Inclusion is about recognizing our assumptions, considering multiple perspectives, and removing barriers.

We accept and celebrate diverse experiences, identities, and perspectives, because lifting each other up fuels thought and builds a stronger, more innovative company. We invite you to learn more about our efforts here.

Creating a world where more people have access to financial freedom

Symetra is a national financial services company dedicated to helping people achieve their financial goals and feel confident about the future. In our daily work, we’re guided by the principles of Value, Transparency and Sustainability. This means we provide products and services people need at a competitive price, we communicate clearly and openly so people understand what they’re buying, and we design products—and operate our company—to stand the test of time. We’re committed to showing up for our communities, lifting up our employees, and standing up for diversity, equity and inclusion (DEI). Join our team and help us create a world where more people have access to financial freedom.

For more information about our careers visit: https://symetra.eightfold.ai/careers

Work Authorization

Employer work visa sponsorship and support are not provided for this role. Applicants must be currently authorized to work in the United States at hire and must maintain authorization to work in the United States throughout their employment with our company.

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