Compliance

• 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.

Compliance Analyst, BD and Advertising Compliance

Senior Director, Compliance & Ethics – PRISM, Multi-Specialty MSOs

Executive Director, Regulatory Affairs

Director, Regulatory Reporting

Privacy Analyst, Global Compliance

Senior Compliance Associate – Equities