Guardian Life Home Office - Agency Control Officer in Helena, Montana
This position requires an in-depth knowledge of life insurance, variable products, securities, advisory business, asset allocation, risk/return metrics and common portfolio management concepts and practices.
A self-starter who is inquisitive
Customer focused, continuously looking at ways to broaden own expertise across the organization,
An analytical thinker
Detailed on documentation and tracking (using CRM Smart Office)
At least 5 years financial services industry experience with a record of increasing responsibility in compliance and/or supervisory functions.
Bachelor’s Degree required; equivalent work experience acceptable
Sound, independent decision making skills.
Strong written and verbal communication skills.
Must have the ability to influence positive behavior through coaching and education utilizing a supportive and consistent approach.
Must be able to record evidence of supervision in a fact based manner.
Demonstrated knowledge of regulatory rules and requirements.
Work in partnership with the SaBR unit to build strong policy and procedure
Maintain updated knowledge of FINRA, SEC and state statutes that apply to the financial services industry
Provide oversight of outside business activities (OBA)
Supervise investment advisory activities of the agency
Conduct detached office supervisory reviews
Monitor and supervise electronic communications within the agencies
Review and monitor trends with respect to sales practices and implement corrective actions as necessary
Work with Registered Principal (RP) team members to assist with e-mail and suitability issues that arise
Oversee the completion of annual compliance meetings, firm element requirements, and overall compliance related training
Assist agency leadership in reviewing potential recruits who meet broker/dealer and company standards
Ensure that all licensing and registration requirements are met and maintained
Supervision of marketing and advertising activities
Supervision and approval of gifts and gratuities
Maintain accurate and complete regulatory filings relating to the Agency/Branch, as well as any detached registered and non-registered locations (Books & Records)
Function as key contact or point person in case of regulatory examinations and internal audits and inspections
Respond to all home office examinations and implement action plans to mitigate future reoccurrence
Implement updates to the policies and procedures as necessary
Identify and implement opportunities for operating and procedural efficiencies
ProofPoint: Monitor social media for adherence to the policy. Submit all pages for compliance approval and work with financial representatives to resolve issues.
Frequent travel >50%
At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
$79,450.00 - $147,550.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.
Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits
Health care accounts – flexible spending, health reimbursement, and health savings accounts
Critical illness insurance
Life and Disability Insurance
Company-paid Life and Disability insurance plus voluntary supplemental coverage
Retirement and Financial
401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable
Complimentary 1:1 financial guidance with a licensed Fidelity representative
Time Off and Remote Work
Flexible work arrangements (part in-person/part remote)
Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement
Personal holidays for colleagues to use in recognition of religious, cultural, or civic days
Paid parental leave and paid family and medical leave policies
Emotional Well-being and Work-Life
Emotional well-being, mental health, and work/life resources powered by Spring Health
Wellness programs, including fitness program and equipment reimbursement
Child, adult, and elder back-up care support through Bright Horizons
Student loan assistance
Commuter benefits in select metropolitan areas
Justice, Equity, Diversity & Inclusion (J.E.D.I.)
Employee Resource Groups that advocate for inclusion and diversity
J.E.D.I. certification and training programs
Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.
Equal Employment Opportunity
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.
Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact email@example.com .
Every day, Guardian helps our 29 million customers realize their dreams through a range of insurance and financial products and services. Our Purpose, to inspire well-being, guides our dedication to the colleagues, consumers, and communities we serve. We know that people count, and we go above and beyond to prepare them for the life they want to live, focusing on their overall well-being — mind, body, and wallet. As one of the largest mutual insurance companies, we put our customers first. Behind every bright future is a GuardianTM. Learn more about Guardian at guardianlife.com .