Job Level
Lead
About the role
- Chief Compliance Officer for Fidelity & Guaranty Life Insurance Company and FGSC, establishing enterprise-wide compliance vision
- Lead a team including AVP, Agent Monitoring & Anti-fraud Officer, Director, Legal Compliance, and Director, Product & Advertising Compliance
- Maintain FINRA registrations (Series 6/26, Series 7/24, or Series 14) and provide comprehensive CCO/AMLCO services
- Develop and maintain compliance programs, testing, regulatory filings, updates, alerts, and annual employee training
- Conduct risk assessments, reviews, and examinations; report violations and remedial actions
- Lead AML programs, policies, procedures, and training
- Provide Annual Report under FINRA Rule 3120 and Annual Certification under Rule 3130
- Manage regulatory compliance across departments and coordinate with regulators and outside counsel
Requirements
- Law degree from a nationally accredited law school
- Minimum of 10 years legal and/or compliance experience in the financial services industry, including experience in and knowledge of corporate or transactional matters as well as public company and registered broker dealer regulatory compliance
- Series 6/26, Series 7/24, or Series 14 license
- Knowledge of insurance company operations and distribution is strongly preferred