Compliance Professional - Annuities/Insurance

Guggenheim Life and Annuity Company is seeking a detailed and self-driven individual to join the Regulatory Compliance department as a Compliance Associate. Reporting to the Senior Compliance Officer, this position will be responsible for supporting various compliance efforts. In addition to established organizational skills, the successful candidate will (i) demonstrate an ability to manage and track various open projects and assignments independently, (ii) have experience with drafting and maintaining policies and procedures, and (iii) be comfortable interacting with business unit leaders, attorneys and other stakeholders. The ideal candidate would also have familiarity with legal research as well as "know your customer" ("KYC") documentation and processes. This role presents an opportunity to grow in a dynamic, growing organization and department.

The position is located in Indianapolis, Indiana.

Specific Responsibilities Include:

  • Conducts legal research including state insurance laws and regulations pertaining to business processes, new product development, and regulatory reporting. Conducts relevant surveys of legal requirements and drafts internal memos regarding regulatory changes.
  • Assists with the development and maintenance of policies and procedures for existing and new processes as a result of regulatory changes and business needs. Coordinates with business unit representatives to implement any needed processes changes resulting from regulatory developments. Assists with the monitoring and tracking of regulatory changes.
  • Coordinates with other department representatives to gather key data pertaining to monitoring, auditing, and reporting of compliance metrics. Provides assistance with development of key metrics and thresholds.
  • Prepares and manages internal and external reporting of market conduct data. Conducts monitoring and auditing tasks at the direction of the senior staff.
  • Reviews KYC documentation in accordance with established policies relating to company investments and, as needed, third party arrangements. Provides support to other associates and teams, including the Investment Team, as needed to adhere to the investment protocol.
  • Coordinates compliance related projects to ensure tasks are appropriately assigned and remain on track and in line with overall project goals and timelines. Prepares internal status reports regarding progress of projects.
  • Gathers materials for responses to inquiries as requested by external parties, insurance regulators and authorized Guggenheim Life personnel.

Skills & Experience Required:

  • BA degree in business or related field or equivalent work experience in a legal and/or business setting
  • Compliance certification preferred (e.g. LOMA's AIRC for FLMI designation)
  • A minimum of 3 years of experience in compliance in a publicly or privately owned company
  • Insurance and/or financial services industry experience preferred
  • Experience managing projects and/or leading project teams across multiple departments is helpful but not required.
  • Must demonstrate sound judgment and analytical skills with ability to work independently with a high degree of accuracy
  • Excellent research and analytical skills to gather facts, analyze, organize, and summarize information
  • Strong interpersonal and communications skills
  • High degree of professionalism, trustworthiness, and a demonstrated ability to handle highly confidential and sensitive information
  • Mastery of MS Office applications, including Word, Excel, Power Point, and Outlook; experience using database tools (e.g., Access) and document management systems (e.g., OpenText) preferred; working knowledge of internet, NILS, Westlaw or Lexis-Nexis, and/or other online legal information systems helpful.

In addition, the ideal candidate will be or have:

  • Attention to detail and accuracy
  • Professional communication and demeanor
  • Sense of urgency, initiative, self-motivation
  • Professionalism, tact, diplomacy
  • Problem solver
  • Quick learner
  • Able to multi-task and continue to execute under pressure

About Guggenheim Life and Annuity Company

Guggenheim Life and Annuity Company, a subsidiary of Guggenheim Partners, provides financial services to institutional and retail customers through fixed annuity products distributed through networks of independent marketing organizations (IMOs) and agents nationwide. For more information about Guggenheim Life and Annuity Company, please visit:

To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people, who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.

Guggenheim Partners is an Equal Opportunity Employer committed to a diversified and inclusive workforce.

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