Compliance Analyst, BD and Advertising Compliance

Compliance Analyst, BD and Advertising Compliance

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 position 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 (50%)

• 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 (50%)

Other Responsibilities

Experience and Education Requirements

Knowledge, Skills & Abilities

Other Requirements