Home Office Firm Control Officer

The Home Office Firm Control Officer (HO FCO) is a key member of the Supervision and Business Risk team(SaBR) and plays a vital role in ensuring assigned agencies and sales professionals comply with company policy and procedure and requirements established by state regulatory departments, FINRA, SEC and other applicable regulatory entities. The HO FCO, in conjunction with the General Agent or Agency Head, is responsible for setting the tone regarding sales practices within the agency. As a Registered Principal, the HO FCO, along with the General Agency or Agency Head, is responsible for the supervision of the Agency's sales professionals.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.You areA self-starter who is inquisitiveCustomer focused, continuously looking at ways to broaden own expertise across the organization,An analytical thinkerDetailed on documentation and tracking (using CRM Smart Office)You haveAt 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 acceptableSound, 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.You willWork in partnership with the SaBR unit to build strong policy and procedureMaintain updated knowledge of FINRA, SEC and state statutes that apply to the financial services industryProvide oversight of outside business activities (OBA)Supervise investment advisory activities of the agencyConduct detached office supervisory reviewsMonitor and supervise electronic communications within the agenciesReview and monitor trends with respect to sales practices and implement corrective actions as necessaryWork with Registered Principal (RP) team members to assist with e-mail and suitability issues that ariseOversee the completion of annual compliance meetings, firm element requirements, and overall compliance related trainingAssist agency leadership in reviewing potential recruits who meet broker/dealer and company standardsEnsure that all licensing and registration requirements are met and maintainedSupervision of marketing and advertising activitiesSupervision and approval of gifts and gratuitiesMaintain 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 inspectionsRespond to all home office examinations and implement action plans to mitigate future reoccurrenceImplement updates to the policies and procedures as necessaryIdentify and implement opportunities for operating and procedural efficienciesProofpoint: 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%Salary Range:$86,210.00 - $141,635.00The 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 PromiseAt 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.Inspire Well-BeingAs 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. Explore our company benefits at www.guardianlife.com/careers/corporate/benefits . Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.Equal Employment OpportunityGuardian 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.AccommodationsGuardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. Guardian also provides reasonable accommodations to qualified job applicants (and employees) to accommodate the individual's known limitations related to pregnancy, childbirth, or related medical conditions, unless doing so would create an undue hardship. 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 MyHR@glic.com. Please note: this resource is for accommodation requests only. For all other inquires related to your application and careers at Guardian, refer to the Guardian Careers site.Visa SponsorshipGuardian is not currently or in the foreseeable future sponsoring employment visas. In order to be a successful applicant. you must be legally authorized to work in the United States, without the need for employer sponsorship.Current Guardian Colleagues: Please apply through the internal Jobs Hub in Workday.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 .Visa Sponsorship:Guardian Life is not currently or in the foreseeable future sponsoring employment visas. In order to be a successful applicant, you must be legally authorized to work in the United States, without the need for employer sponsorship.