Head of Compliance Shared Services

Guardian Life

Role Summary:

As Head of Compliance Shared Services, you will be a member of the Compliance senior leadership team and lead a team of compliance professionals responsible for providing support to Compliance, Law, and business partners. The Shared Services team exists to provide centralized support in key functions to ensure efficiency, effectiveness, and consistency. You will oversee the following functions and responsibilities in the Shared Services team either directly or indirectly through direct reports: Advertising Review Unit; regulatory filings; policy governance and process; political contributions policy and process; gifts and entertainment policy and process; records policy, retention schedule, and program management; and testing, surveillance and compliance risk assessment oversight.

You Will:

-Report directly to Guardian’s Chief Ethics and Compliance Officer.

-Create a strategy for the Shared Services team to align with the objectives of a centralized function (efficiency, consistency, etc.) which is supported by plans for each function of Shared Services.

-Appropriately staff each function, including the use of India resources.

-Develop and retain leadership of the team, and broader cross-training of team members to reduce risk of single points of failure.

-Serve as the primary Compliance lead for corporate functions including Enterprise Business Technology Solutions, Human Resources and Finance and develop deep and valued relationships with those functions.

-Be a key business partner/liaison with the Operational Risk Management function as well as with Internal Audit.

-Partner with Compliance leaders and the Chief Ethics and Compliance Officer to provide insights and guidance of trends, issues, metrics, and risks directly correlated to the functions owned.

-Be strategic in leading the Records program for the company, including partnering with key constituents, i.e., Law, Chief Information Security Officer, Chief Data Officer, Records Management Leaders, etc.

-Own and oversee the policy and programs to support corporate policies such as gifts and entertainment, political contributions, policy on policies, etc.

-Be accountable for the company’s policy governance process and system.

-Adhere to regulatory requirements of each function of responsibility, i.e., correct and timely regulatory filings, political contributions, advertising review, etc.

-Develop metrics program leveraging data from source systems throughout the enterprise to enhance and standardize reporting processes.

-Stay abreast of emerging issues through research and review of impending rules, case law, enforcement actions, law firm bulletins and other resources that allow the team to remain current on hot topics and areas to watch.

-Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.

You Have:

-An undergraduate degree is required; and advanced degree such as a JD or MBA is preferred but not required.

-10 plus years legal/regulatory/compliance experience with life/health insurance carriers (broker dealer).

-Extensive experience in compliance disciplines with a demonstrated leadership profile from large and complex financial services/insurance organizations.

-Series 7 and 24 license desired by not required.

-Computer literacy (Word, Excel, PowerPoint, etc.) and adapt well to new technologies.

-Balance of both strong technical skills and solid business and leadership acumen for directing a highly effective Compliance function.

-Demonstrated ability to influence senior leadership and build outstanding relationships based on mutual trust. These qualities are imperative to ensure the Compliance function is viewed as a valued partner to the businesses of the organization and an effective counsel to senior leadership.

-Unquestioned commitment to excellence and world class client service. As such, you demonstrate high personal standards of integrity and ethics with an impeccable reputation and possess strong analytical and critical thinking skills.

-Proven ability to navigate organizational complexity and possess a decisive results-oriented mindset. These attributes will be complemented by a collaborative and consultative approach to driving positive outcomes rather than “command and control” mindset.

-Strong relationship orientation and agility to navigate across the organization; partnering skills are critical.

-Ability to multi-task in a fast-paced environment with special attention to detail, as well as the ability to recognize changing objectives and how to prioritize.

Location:

The primary locations for this position are Bethlehem, PA or Hudson Yards, NY with hybrid WFH flexibility.

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 to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Salary Range:

$132,780.00 - $246,580.00

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.