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Advertising • des moines ia
Compliance Analyst, BD and Advertising Compliance
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Fidelity & Guaranty Life Insurance CompanyDes Moines, IA, US- serp_jobs.job_card.full_time
Job Description
Job Description
Job Summary
This position serves as a critical compliance resource and will work closely with the Chief Compliance Officer on oversight of Fidelity & Guaranty Securities Corp., a registered broker dealer ensuring strict adherence to federal and state securities and insurance regulations, including SEC and FINRA. This positions will also be responsible for ensuring advertising compliance with all state advertising laws and regulations for all F&G products. This position reports to Director, Product and Advertising Compliance
Duties and Responsibilities
Broker Dealer Compliance (60%)
- 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.
Ad Review Process Support (40%)
Other Responsibilities
Experience and Education Requirements
Knowledge, Skills & Abilities
Other Requirements
#LI-JB1
#LI-Remote
Additional Information
Work Environments
F&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.
F&G complies with federal and state disability laws and makes reasonable accommodations for applicants and candidates with disabilities, unless such accommodation would cause an undue hardship for F&G. If reasonable accommodation is needed to participate in the job application or interview process, please contact talentacquisition@fglife.com.
Join our employee-centric hybrid work environment : F&G Careers
About F&G
Since 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.
1 Top Workplaces USA 2022 – 2023
2 Des Moines Register Top Workplaces 2018 – 2022
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