Senior Associate, Compliance

at Global Atlantic Financial Group
Hartford, Connecticut, United States

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Company policy requires all employees and visitors to the Hudson Yards, NY office to be vaccinated against the COVID-19 virus.


Global Atlantic Financial Group is a leader in the U.S. life insurance and annuity industry, serving the needs of individuals and institutions. Global Atlantic is a majority-owned subsidiary of KKR, a leading global investment firm that offers alternative asset management across multiple strategies and capital markets solutions.

Global Atlantic is looking for a diverse team of talented individuals who reinforce our culture of collaboration and innovation. We are dedicated to the career development of our people because we know they are critical to our long-term success. Join our team and come grow with us. 


Reporting to the CCO-Individual Markets-Compliance, the Senior Compliance Associate will support the Company’s compliance program, with a particular emphasis on the building and supporting the oversight of Global Atlantic’s Compliance program. The Compliance Associate will be a key leadership role within the Compliance team and will be responsible for ensuring that we met our regulatory requirements and support our business partners. The individual will be expected to partner with the business and use sound judgment and experience while maintaining a strong relationship with internal clients.

Work Experience

The Senior Compliance Associate will join the Global Atlantic Compliance team in Hartford, CT and will be primarily responsible for supporting our current and expanding compliance program and making process improvement recommendations as appropriate as we grow the business. An ideal candidate will have broad experience in the regulation of life insurance companies, mutual funds, alternative investments, and retail Broker/Dealer firms, with expertise in state and FINRA regulatory requirements pertaining to securities, private placements, life insurance and varying annuity product regulations.


  • Build and maintain strong relationships within the Compliance, Legal and Internal Audit Departments
  • Build and maintain strong relationships with internal customers striving always to find balanced compliant solutions
  • Be an active contributor, leader, and collaborator on daily tasks and larger projects, as assigned
  • Understand Global Atlantic’s business processes, products and regulatory obligations and apply that understanding to business activities
  • Support management and team and actively contribute to a positive work environment that is collaborative and encouraging
  • Identify and recommend process improvements that offer efficiencies and improve quality
  • Establish strong working relationships within the broader Global Atlantic organization
  • Seek out knowledge and provide prompt and accurate responses to inquiries
  • Bring value to the business and guide partners as we grow and expand business activities
  • Be a sought-out resource for our business partners and clients to foster compliant practices as we transform multiple facets of our business


  • Bachelor’s Degree
  • Minimum of 5-7 years in a financial services role (preferably in an insurance company, independent marketing organization (IMO), broker-dealer, or investment advisor) or comparable regulated industry
  • Ability to make decisions, use independent judgment, establish priorities and work effectively on multiple initiatives concurrently while maintaining strict attention to detail
  • Experienced communicator (written and oral)
  • Ability to work with a geographically dispersed team
  • Capacity to consider, process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment
  • Ability to work across enterprise and present complex matters to internal colleagues, management, or business leaders
  • A willingness to accept direction from leaders and peers and lead projects and initiatives
  • A strong desire to work well with others
  • Strong communication skills, work ethic and high level of personal integrity and accountability
  • Self-starter and have a desire for learning and to be a solution seeker
  • Business and regulatory landscape knowledge and acumen
  • Understanding of diverse distribution models and structures
  • Demonstrates the ability to use sound judgment and discretion regarding confidential information
  • Knowledge of U.S. securities laws, particularly the Investment Advisors Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934
  • FINRA Series 7 required, and Series 24 strongly preferred
  • Experience working with SEC registered products, mutual funds, and private placements
  • Experience with FINRA rules regulations and registered/variable products and securities



Global Atlantic’s total rewards package is reflective of our corporate values, particularly diversity, excellence and innovation, with a focus on inclusion, pay equity, and flexibility. We are proud to support your personal and professional growth and well-being through programs such as educational assistance, virtual physical therapy, remote/onsite fitness reimbursement, a medical second opinion program, pet insurance, military leave, parental leave, adoption assistance, fertility and family planning coverage. We strive to foster a culture of total well-being through community outreach and charitable giving programs.

We are active in our communities-

  • New York: Red Hook Conservancy, Girls Who Invest and The Bowery Mission
  • Boston: Cradles to Crayons, Project Bread, Let’s Get Ready, Rise Against Hunger, Salvation Army and many other local volunteer organizations in around the Boston area
  • Hartford: Habitat for Humanity, Foodshare, Humane Society, Hands on Hartford, Mercy Shelter and Dog Star Rescue
  • Indianapolis: Elevate Indianapolis, Gleaners Food Bank and the Juvenile Diabetes Research Foundation
  • Batesville: American Cancer Society Relay for Life, Angels of Giving, Margaret Mary Health Foundation, Ripley County Community Foundation, Safe Passage, Batesville High School Sponsorships, local area youth sports and food pantries, as well as many others
  • Des Moines: United Way, Central Iowa Shelter & Services, Junior Achievement of Central Iowa and Make a Wish Foundation
  • Berwyn: Food drive and will be planning an event to help a local family over the holidays
  • Atlanta: Packaged Good Organization, which helps the most vulnerable community members with providing personalized care packages for people in need including the elderly, our armed forces, the homeless and hospitalized kids
  • Bermuda: Sponsor of a weekly feeding program operated by The Hamilton Seventh-Day Adventist Church

Social platforms provide an environment to collaborate with others and participate in friendly competitions towards achieving physical, emotional and financial well-being. Our highly competitive health, retirement, life and disability plans can be tailored to best suit your needs and those of your whole family.

Global Atlantic is committed to creating an inclusive environment where everyone can meaningfully contribute to our success. We are proud to be an equal opportunity employer and we do not discriminate in employment on any basis that is prohibited by federal, state or local laws.  More than that, we strive to be inclusive of all backgrounds and experiences, which we feel gives us a competitive advantage in the market and within our firm.  All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, age, or veteran status.

Employees who require an accommodation to perform the essential functions of their job will participate in an interactive process which may include providing documentation. If you are hired and require an accommodation for any protected status, please email

Please click on the links below to learn more about Global Atlantic.

Global Atlantic Financial Company Employee Candidate Privacy Notice


32 Longview Lane

West Hartford, CT 06107

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We encourage qualified applicants from all backgrounds to apply.  As such, we are committed to achieving a diverse candidate pool for open positions and that our interview teams are made up of employees from different backgrounds.  Sharing your background with us will help us with that focus, although recruiters and hiring managers will not have the ability to see individual responses (only aggregate information).  

This information is not used to determine who is selected for interviews or will be hired, but is helpful in identifying resources, sites and groups which add value in increasing our applicant pool and ensures that we attract the best and most diverse workforce.  This is purely voluntary but will help our mission to be inclusive.  


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