Compliance Analyst, BD and Advertising Compliance

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October 27

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F&G

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Finance • Enterprise

F&G is a company that provides a portal for sales agents to manage their accounts and access resources. The SalesLink agent portal requires users to log in with their agent ID and password, offering features for password management and security protocols. F&G seems to focus on providing services and support for sales agents, possibly in the insurance or financial industry, as suggested by the email domain 'fglife. com'.

501 - 1000 employees

Founded 1959

💸 Finance

🏢 Enterprise

📋 Description

• 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