Compliance Analyst – Ad Review & BD Compliance
Fidelity & Guaranty Securities, LLC
Job Summary
This position performs various product compliance and regulatory compliance functions and other corporate projects, as well as other compliance functions as assigned. This position will primarily be responsible for ensuring assigned ads are in compliance with applicable regulations including the research and review of regulatory requirements that impact F&G business lines. Additionally, this position will support the creation of compliance related policies and procedures for F&G Securities Corp, a registered broker dealer.
Duties and Responsibilities
Ad Review Process Support (75%)
Move assigned ads, consumer disclosures, illustrations, agent training materials, and other collateral materials through the ad review process, meeting internal timeframes and ensuring compliance with applicable regulations in compliance with state insurance regulatory, FINRA, and SEC regulations.
Research and review applicable regulatory requirements, addressing changes impacting F&G business lines as needed.
Partner with stakeholders to provide guidance on advertising laws, regulations, and compliance issues.
Build and maintain strong working relationships with stakeholders to understand business needs.
Assist Senior Compliance Analyst and AVP, Product Compliance with preparation of annual ad reviewing training.
Broker Dealer Compliance (25%)
Assist with creation of policies and procedures for Fidelity & Guaranty Securities Corp., a registered broker dealer.
Develop procedures, compliance alerts, articles, and presentations on behalf of the broker dealer
Review and monitor correspondence.
Analyze data, identify and act on potential compliance risks, and apply regulatory requirements to the broker dealer’s structure.
Prepare and file CRD filings (U-4, U-5).
Assist with broker dealer audits.
Other Responsibilities
Acts as a company resource with respect to product compliance and related issues through special assignments and committees. Represents Product Compliance and F&G at various internal and external meetings.
Experience and Education Requirements
Bachelor’s degree in business, English or related field or equivalent relevant work experience required.
ALMI, FLMI or AIRC preferred.
Series 6, 26, and 63 preferred but not initially required (need to obtain within 6 months)
Minimum of three years of experience in the insurance industry with a concentration on life insurance and annuity products.
Experience with compliance, controls and auditing processes.
Experience in FINRA and SEC supervision and best practices
Knowledge of life insurance and securities industry rules, regulations, and best practices
Knowledge of variable products and services
Strong verbal and written communication skills
Knowledge, Skills & Abilities
Strong verbal and written communication skills.
Strong organizational skills.
Strong analytical skills and aptitude for detailed work.
Aptitude to perform in a fast-paced production environment while addressing multiple projects and responsibilities.
Other Requirements
Perform other functions, duties and projects as assigned
Regular and punctual attendance
Some travel may be required (less than 10%)