Compliance

• Assist in mitigating legal exposure/risk to the WFG & TFA organizations by enforcing company policies, procedures, and regulatory requirements
• Work with instruction or guidance with applicable latitude for un-reviewed action or decisions
• Perform general assignments with direction and guidance from management
• Review WFG & TFA policies and procedures; identify and help to implement new and/or enhanced practices
• Analyze processes, services, and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements
• Compile information for completion of reporting, including reports for management and state/federal regulators
• Perform analysis, identify trends, and follow up on opportunities for enhancement based on the complexity of requests
• Update and maintain complete and accurate policies, procedures, compliance logs, and files
• Analyze company responses to regulatory complaints and assist with completion
• Coordinate regulatory examinations
• Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations
• Review provided information for completeness and accuracy
• Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements
• Support the review and response to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels by gathering information

Compliance Analyst – WFG, TFA

Senior Regulatory Risk Specialist

Executive Director, Regulatory Science & Strategy – Oncology

Director, Global Regulatory Leader

Director, Global Regulatory Leader

Senior Manager, Quality – Regulatory Affairs