Compliance Analyst, BD and Advertising Compliance

Job Summary

This position serves as a critical compliance resource and will work closely with the Chief Compliance Officer on oversight of Fidelity & Guaranty Securities Corp., a registered broker dealer ensuring strict adherence to federal and state securities and insurance regulations, including SEC and FINRA. This positions will also be responsible for ensuring advertising compliance with all state advertising laws and regulations for all F&G products. This position reports to Director, Product and Advertising Compliance

Duties and Responsibilities

Broker Dealer Compliance (60%)

• Ensure compliance with FINRA, SEC and state insurance department regulations
• Maintain all policies and procedures for Fidelity & Guaranty Securities Corp., a registered broker dealer.
• Review and monitor correspondence.
• Identify potential compliance risks, and apply regulatory requirements to the broker dealer’s structure.
• Prepare and submit all FINRA required filings and reports.
• Maintain accurate documentation for regulatory examinations.
• Assist with various exams and audits both internal and external relating to broker dealer.

Ad Review Process Support (40%)

• Review and approve all assigned advertising material to ensure adherence with applicable FINRA, SEC, and state insurance regulations.
• Research and review applicable FINRA, SEC, and state insurance advertising regulations ensuring continued compliance and addressing any changes impacting F&G business lines.
• 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 with preparation and presentation of periodic advertising training to internal stakeholders.

Other Responsibilities

• Acts as a company resource with respect to broker dealer, advertising and other related issues through special assignments and committees. Represents 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 required
• 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

Knowledge, Skills & Abilities

• Strong verbal and written communication skills.
• Detail oriented with strong organizational skills.
• Strong analytical skills and critical thinking abilities.
• Ability to work independently and collaborate across multiple departments.
• 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%)

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