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Compliance Analyst, Ad Review & BD Compliance

Company: Fidelity & Guaranty Life Insurance Company
Location: Des Moines
Posted on: May 27, 2023

Job Description:

Job SummaryThis position performs various product compliance and regulatory compliance functions and other corporate projects, as well as other compliance functions as assigned. This position will primarily be responsible for ensuring assigned ads are in compliance with applicable regulations including the research and review of regulatory requirements that impact F&G business lines. Additionally, this position will support the creation of compliance related policies and procedures for F&G Securities Corp, a registered broker dealer.Duties and ResponsibilitiesAd Review Process Support (75%)Move assigned ads, consumer disclosures, illustrations, agent training materials, and other collateral materials through the ad review process, meeting internal timeframes and ensuring compliance with applicable regulations in compliance with state insurance regulatory, FINRA, and SEC regulations.Research and review applicable regulatory requirements, addressing changes impacting F&G business lines as needed.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 Senior Compliance Analyst and AVP, Product Compliance with preparation of annual ad reviewing training.Broker Dealer Compliance (25%)Assist with creation of policies and procedures for Fidelity & Guaranty Securities Corp., a registered broker dealer.Develop procedures, compliance alerts, articles, and presentations on behalf of the broker dealerReview and monitor correspondence.Analyze data, identify and act on potential compliance risks, and apply regulatory requirements to the broker dealer's structure.Prepare and file CRD filings (U-4, U-5).Assist with broker dealer audits.Other ResponsibilitiesActs as a company resource with respect to product compliance and related issues through special assignments and committees. Represents Product Compliance and F&G at various internal and external meetings.Experience and Education RequirementsBachelor'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 practicesKnowledge of life insurance and securities industry rules, regulations, and best practicesKnowledge of variable products and servicesStrong verbal and written communication skillsKnowledge, Skills & AbilitiesStrong verbal and written communication skills.Strong organizational skills.Strong analytical skills and aptitude for detailed work.Aptitude to perform in a fast-paced production environment while addressing multiple projects and responsibilities.Other RequirementsPerform other functions, duties and projects as assignedRegular and punctual attendanceSome travel may be required (less than 10%)

Additional InformationWork EnvironmentsF&G believes in an employee-centric flexible environment, which is why we offer the ability for in-office, hybrid and remote work arrangements. During the hiring process, you'll work with your leader to decide what works best for your role.Join our employee-centric hybrid work environment: F&G CareersAbout F&GSince 1959, Fidelity & Guaranty Life Insurance Company (F&G) has offered annuity and life insurance products to those who are seeking security in retirement and protection during life's unexpected events.As a national Top Workplace1, an Iowa Top Workplace2 and a proud equal opportunity employer, F&G team members are empowered, collaborative, dynamic and authentic. We believe that by embracing these values, we will continue to build and strengthen the company while continuing to be a great place to work.1Top Workplaces USA 2022 - 20232Des Moines Register Top Workplaces 2018 - 2022Notice for all Applicants who are California residents under the California Privacy Rights Act. Please click here to review the policy.

Keywords: Fidelity & Guaranty Life Insurance Company, Des Moines , Compliance Analyst, Ad Review & BD Compliance, Professions , Des Moines, Iowa

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