Compliance Lead, Advertising Review Unit

The Guardian Life Insurance Company of America (Guardian) is seeking an Advertising Compliance Analyst to join our team.

Guided by our company Purpose of “Inspiring well-being for our colleagues, consumers, and communities,” we are committed to building a best-in-class Law Department.

We drive a high-performance culture across our Legal, Compliance, and Government Affairs functions, aligned to “what” we deliver (i.e., our goals and objectives) and “how” we demonstrate our values and behaviors while focusing on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness, ability to demonstrate business savvy, being a subject matter expert, all while supporting the Law Department’s Mission to be a trusted advocate and advisor to drive strategic solutions that advance Guardian’s purpose, priorities, and values.

Do you want to be part of a collaborative Compliance Legal Team?

The Compliance team develops and oversees an effective compliance program to (i) promote adherence with applicable laws, regulations, and company policies, (ii) provide strategic advice to the enterprise regarding the implications of emerging regulations and risks, (iii) establish and implement controls and procedures to detect and remediate, or prevent, corporate misconduct and fraud, and (iv) support a culture of accountability and ethical leadership throughout the organization.

As an Advertising Compliance Analyst, you will support the compliance program to ensure insurance and securities products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with the applicable laws, regulations, and standards.

You will

• Review, analyze and make independent determinations on multi-media advertising materials created by home office and distribution partners to support Guardian’s growth strategy and purpose across multiple products, services, and business lines.

• Ensure strict adherence with rules set forth by The National Association of Insurance Commissioners, Financial Industry Regulatory Authority, Securities and Exchange Commission, State Insurance Departments and Federal Trade Commission regarding truthfulness, transparency, and accuracy.

• Be a cross- functional analyst with the ability to collaborate with home office and distribution partners to understand business priorities and objectives and agency needs to provide advice and support to key partners across the organization.

• Collaborate with various internal and external partners on compliance matters, serving as a subject matter expert on advertising compliance.

• Manage a measured volume of daily submissions in an expedited manner while ensuring compliance and quality.

• Stay up to date with evolving regulatory environment, ensuring the organization's practices and policies align with regulatory and legal requirements.

You have

• 5+ years of experience in life/health insurance or wealth management industry

• The ability to analyze interpret and implement regulatory rules and industry developments.

• Excellent communication, presentation, and interpersonal skills, and the ability to communicate and

• Ability to collaborate with multiple products and legal areas.

• Ability to work independently while recognizing the importance of a unified team.

• Strong analytical, problem-solving, and decision-making skills, and the ability to identify and resolve.

• The desire to perform in a fast-paced environment while maintaining Guardian’s high standards, reputation, and corporate culture.

• FINRA Series 7 and 24 preferred, Series 6 and 26 required. Acquisition of Series 7 and 24 required within 6 months of hire.

Reporting Relationships

As our Compliance Analyst, you will report to the Compliance Lead, Advertising Review.

Location /Travel

Hybrid role: 3 days in the office, 2 days WFH in Bethlehem, PA, or Holmdel NJ office.

Salary Range:

$84,320.00 - $138,522.50

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.

Our Promise

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