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 Agencyu2019s 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 are + A self-starter who is inquisitive + Customer focused, continuously looking at ways to broaden own expertise across the organization, + An analytical thinker + Detailed on documentation and tracking (using CRM Smart Office) You have + At least 5 years financial services industry experience with a record of increasing responsibility in compliance and/or supervisory functions. + Bacheloru2019s Degree required; equivalent work experience acceptable + Sound, 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 will + Work in partnership with the SaBR unit to build strong policy and procedure + Maintain updated knowledge of FINRA, SEC and state statutes that apply to the financial services industry + Provide oversight of outside business activities (OBA) + Supervise investment advisory activities of the agency + Conduct detached office supervisory reviews + Monitor and supervise electronic communications within the agencies + Review and monitor trends with respect to sales practices and implement corrective actions as necessary + Work with Registered Principal (RP) team members to assist with e-mail and suitability issues that arise + Oversee the completion of annual compliance meetings, firm element requirements, and overall compliance related training + Assist agency leadership in reviewing potential recruits who meet broker/dealer and company standards + Ensure that all licensing and registration requirements are met and maintained + Supervision of marketing and advertising activities + Supervision and approval of gifts and gratuities + Maintain 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 inspections + Respond to all home office examinations and implement action plans to mitigate future reoccurrence + Implement updates to the policies and procedures as necessary + Identify and implement opportunities for operating and procedural efficiencies + Proofpoint: 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 - $141,635.00 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. Our Promise At Guardian, youu2019ll 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-Being As part of Guardianu2019s Purpose u2013 to inspire well-being u2013 we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues. Explore our company benefits at . _Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits._ Equal Employment Opportunity Guardian 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. Accommodations Guardian 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 . 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 Sponsorship Guardian 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 u2014 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 . 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.

Created: 2026-03-25