Compliance Analyst, BD and Advertising Compliance
F&G
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteJob Level
Mid-LevelSenior
About the role
- 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.
- 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.
- 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.
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
Benefits
- Ability for in-office, hybrid and remote work arrangements
- Reasonable accommodations for applicants and candidates with disabilities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
complianceauditingregulatory requirementsFINRA filingsadvertising regulationsrisk identificationdocumentation maintenanceinternal auditsexternal auditsstakeholder guidance
Soft skills
relationship buildingcommunicationpresentation skillscollaborationproblem-solvingattention to detailorganizational skillstraininganalytical thinkingadaptability
Certifications
Bachelor's degreeALMIFLMIAIRCSeries 6Series 26Series 63