Symetra Financial

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Compliance Analyst

at Symetra Financial

Posted: 10/24/2017
Job Reference #: 5000257973906
Keywords:

Job Description

Job Description

Symetra is a dynamic and growing financial services company with 60 years of experience and customers nationwide. In our daily work delivering retirement, employee benefits, and life insurance products, we're guided by the principles of VALUE, TRANSPARENCY AND SUSTAINABILITY. That means we provide products and services people need at a competitive price, we communicate clearly and honestly so people understand what they're getting, and we build products that stand the test of time. We work hard and do what's right for our customers, communities and employees. Join our team and share in our success as we work toward becoming the next national player in our industry.
 
The Compliance department promotes Symetra's long term growth by partnering to develop practical, consumer-oriented solutions in a complex regulatory environment. Each day, we develop compliance guidance for business areas, review sales material to ensure customer transparency, interact with state and federal regulators, and problem solve ways of addressing potential risks.
 
We are currently recruiting for a Compliance Analyst I position. This is a entry to mid-level position that assists in project initiatives, serving as the primary contact in specified areas, including Web CRD for Symetra's broker-dealer, Symetra Securities Incorporated (SSI).
 
Responsibilities may include:
  • Assisting the SSI leader in establishing and implementing standard policies, procedures, processes and best practices to promote compliance with applicable laws and contractual obligations specific to the licensing and registration functions of the broker-dealer.
  • General compliance support, assisting with regulatory examinations, compliance monitoring efforts, and support of the corporate 38a-1 program
  • Delivers consistent, high quality work product by handling routine compliance issues.
  • Participates with team in identifying and resolving issues.
  • Generates solutions to improve processes and procedures.
  • Completes regulatory analysis projects with guidance from more senior compliance personnel.

Job Requirements

Education Required:
  • College Degree or comparable experience.
Minimum Years of Related Work Experience Required:
  • 2+ years compliance or industry experience.
Specific Licensing, Designation and/or Training Required:
  • FINRA Series 6/7 and 26/24 (depending on specific role).
Skills and Abilities Required:
  • Strong organizational, analytical, and writing skills.
  • Effectively conveys pertinent information.
  • Accepts and adapts readily to changes, including changes in organizational structure, strategies, business processes and procedures, etc.
  • Follows through on problems to ensure full resolution.
  • Experience with Web CRD and SharePoint preferred.
 
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