Compliance Analyst, BD and Advertising Compliance

Bachelor’s degree in business, English or related field or equivalent relevant work experience 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 Strong verbal and written communication skills Detail oriented with strong organizational skills Strong analytical skills and critical thinking abilities Ability to work independently and collaborate across multiple departments Aptitude to perform in a fast-paced production environment while addressing multiple projects and responsibilities

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 Partner with stakeholders to provide guidance on advertising laws, regulations, and compliance issues Build and maintain strong working relationships with stakeholders Assist with preparation and presentation of periodic advertising training