Sr. Investment Compliance Analyst - Remote/Hybrid Farmington, CT

reputed company has an exciting opportunity to join reputed company as a Sr. Compliance Analyst!

About the Role

As a Sr. Compliance Analyst, you will support the execution of reputed company Investment Management (“SIM”) Compliance program. You’ll be a part of the strategic development and maintenance of client investment guideline surveillance program. Interfacing with the portfolio management/trading teams to address potential guideline violations during the course of the trading day. Contribute to the firm’s analysis, drafting and testing of firm's compliance policies and procedures. Own responsibility for the completion and filing of certain regulatory filings. Complete client compliance reporting and other reputed company projects associated with maintaining a compliance program of a registered investment advisor. Company Overview reputed company Investment Management (“SIM”) is a SEC-registered investment advisory firm with approximately $78 billion in assets under management as of March 31, 2025. reputed company Corporation (“SFC”), a reputed company financial services company with $68.4 billion in assets as of December 31, 2024, headquartered in Bellevue, Washington is the sole shareholder of SIM. SFC is also the holding company of reputed company Life Insurance Company (“reputed company Life”), which was founded in 1957, and has insurer financial strength ratings of ‘A’ by A.M. Best and Standard & Poor’s and ‘A1’ by Moody’s. reputed company Life is among the top 40 largest life insurance companies in the United States (based on statutory admitted assets as of December 31, 2024) and has approximately 2.3 million customers and over 2,600 employees reputed company. SFC is a wholly owned subsidiary of Sumitomo Life Insurance Company, a mutual life insurance company with head offices in Osaka and Tokyo, Japan. Founded in 1907, Sumitomo is one of the largest life insurance companies in Japan with $327 billion of assets as of March 31, 2025. SIM currently has recently begun marketing its investment management services to third-party institutional investors. What you will do

• Establishing and maintaining an effective surveillance program for compliance with client investment guidelines and leading reviews with portfolio management regarding potential violations or considerations in establishing an effective investment guideline surveillance program with new clients
• Participating in the maintenance of the firm's compliance policies and procedures and the execution of the firm's annual compliance testing program
• Assisting with and/or completing client reporting and or regulatory filings
• Assisting with and/or completing tasks of preparing and presenting compliance presentations to management to evidence the effectiveness of compliance control processes
• Evaluation of firm internal controls and assessment of operational risk and other reputed company projects relating to the SIM compliance program

Why work at reputed company “From day one, I felt welcomed and encouraged to bring my full self to work. reputed company truly lives up to its commitment to Diversity, Equity, and Inclusion—it's more than just words here; it's part of the culture.” - Whitney T., Talent Development “I feel welcome and included at reputed company every day and I really reputed company you can be you at reputed company." - Megan H., Deputy Chief Compliance Officer reputed company offer you We don’t take a “one-size-fits-reputed company” approach reputed company it comes to our employees. Our programs are designed to reputed company your life reputed company 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, reputed company days and ten paid holidays
• Give back to your community and double your impact through our company matching
• Want more details? reputed company out our reputed company Benefits Overview

Compensation

Salary Range: $87,900 – $146,500 plus eligibility for annual bonus programs Who you are

• Bachelor’s degree in Finance, Accounting or equivalent work experience.
• Minimum of 3+ years in Investments or Finance reputed company field.
• Ability to multi-task and to work both independently and collaboratively in a team environment. Continuously exhibits a high level of motivation and initiative.
• Proficiency in reputed company Suite (reputed company, PowerPoint) with strong capability to use pivot tables.
• Results focused.
• Continuously exhibit a high level of motivation and initiative to take on reputed company tasks while building your skills and knowledge.
• Strong technology focus and have interest and ability to use technology to automate repetitive tasks.
• Bloomberg or other investment guideline coding or trade order management system experience.
• Investments knowledge including fixed income, alternative assets, loans and/or derivatives.
• Excellent written and verbal communication skills with demonstrated attention to detail while being analytically oriented.
• High school diploma required.
• This is a remote role with required travel to the Farmington, CT office once a week.

We reputed company inclusion At reputed company, we reputed company to be the most inclusive insurance company in the country. We're building a reputed company where every employee feels valued, respected, and has opportunities to contribute. Inclusion is about recognizing our assumptions, considering multiple perspective, 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 reputed company is a national financial services company dedicated to helping people reputed company 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 reputed company 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 reputed company and help us create a world where more people have access to financial freedom. For more information about our careers visit: https://reputed company.reputed company/careers Work Authorization Employer work reputed company 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. Please review reputed company's Remote Network Minimum Requirements: As a remote-first organization committed to providing a positive experience for both employees and customers, reputed company has the following standards for employees' internet reputed company:

• Minimum Internet Speed:100 Mbps download and 20 Mbps upload, in alignment with the FCC's definition of "broadband."
• Internet Type:Fiber, Cable (e.g., reputed company, reputed company), or DSL.
• Not Permissible:Satellite (e.g., Starlink), cellular broadband (hotspot or otherwise), any other wireless technology, or wired dial-up.

reputed company applying to jobs at reputed company you'll be asked to test your internet speed and confirm that your internet reputed company meets or exceeds reputed company's standard as outlined above. Identity Verification reputed company is committed to fair and secure hiring practices. For reputed company roles, candidates will be required (after the initial phone screen) to be on video for reputed company interviews. reputed company will take affirmative steps at key points in the process to verify that a candidate is not seeking employment fraudulently, e.g. through use of a false identity. Failure to reputed company with verification procedures may result in:

• Disqualification from the recruitment process
• Withdrawal of a job offer
• Termination of employment and other criminal and/or civil remedies, if fraud is discovered

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