VP, Chief Compliance Officer

Job Summary

This role serves as the organization's Chief Compliance Officer for all aspects of the business, including serving as the Chief Compliance Officer for Fidelity & Guaranty Securities Corp ("FGSC"), a registered broker dealer distributing F&G's registered insurance products. This position reports to the SVP, Chief of Government, Regulatory and Compliance Affairs and is responsible for establishing enterprise-wide compliance vision, driving data-informed decision-making, fostering inclusive practices, and leading with accountability while maintaining the highest standards of regulatory excellence.

The Chief Compliance Officer will lead a team consisting of: AVP, Agent Monitoring & Anti-fraud Officer, Director, Legal Compliance, and Director, Product & Advertising Compliance, and their respective reports.

The position requires interaction with personnel at all levels of F&G and FGSC as well as outside attorneys and regulators.

Duties and Responsibilities

Fidelity & Guaranty Securities Corp. Chief Compliance Officer/AMLCO

Maintain appropriate FINRA registrations (Series 6/26, Series 7/24, or Series 14) and provide comprehensive CCO/AMLCO services including:

• Develop and maintain detailed compliance programs, testing, regulatory filings, updates, alerts, and annual employee training
• Conduct regular onsite and remote reviews including risk assessments, trade reviews, suitability and new account reviews, correspondence reviews, and marketing materials review
• Provide Annual Report under FINRA Rule 3120 and Annual Certification under Rule 3130
• Report violations, recommend remedial actions, and provide examination support for SEC/FINRA regulatory matters
• Develop, implement, and maintain anti-money laundering programs, policies, procedures, and training

F&G Chief Compliance Officer

• Prioritize implementation and oversight of new regulatory requirements across business units
• Manage agent monitoring, anti-fraud, suitability, best interest and Department of Labor regulatory compliance
• Lead and develop Compliance teams using collaborative, cross-functional approaches while encouraging innovation and maintaining positive working relationships
• Assess company's compliance and market conduct risks, developing procedures that enable competitive success while maintaining ethical standards
• Challenge existing compliance and operating paradigms to drive efficiency and effectiveness
• Manage Compliance Department expense budget, identifying variances and recommending solutions
• Conduct staff meetings, draft and monitor monthly action plans, and review activity reports
• Prepare periodic updates to Chief Risk Officer and General Counsel
• Select, retain and supervise outside counsel; negotiate fees and evaluate performance for cost efficiency
• Support product development compliance, advertising review, branding, and marketing/sales/distribution initiatives
• Support Operations personnel in remediating regulatory, audit and exam findings
• Draft procedures and policies for Operations and Distribution areas
• Provide compliance oversight for underwriting, IT, new business, remediation, and Contracts-Commission-Licensing

Special Projects

• Manage and complete special departmental and corporate projects for SVP, Chief of Government, Regulatory and Compliance Affairs
• Act as department liaison for compliance matters and corporate projects, including Executive and Management Committee meetings

Leadership & Team Management

• Establish strategic compliance vision that drives organizational value and supports business growth objectives
• Enhance cross-functional collaboration between Legal, Operations, Distribution, and business units
• Foster culture of direct, candid feedback where speaking up is encouraged
• Establish metrics and analytics to measure compliance effectiveness and identify improvement opportunities
• Cascade information effectively from executive leadership to employee level
• Lead thoughtful conversations regarding compliance matters, regulatory findings, and strategic decisions
• Take ownership of compliance outcomes and drive cultural change that supports business growth
• Build trust through personal accountability and transparent decision-making
• Create environment where team members feel valued and empowered to contribute ideas

Experience and Education Requirements

• Law degree from a nationally accredited law school
• Minimum of 10 years legal and/or compliance experience in the financial services industry, including experience in and knowledge of corporate or transactional matters as well as public company and registered broker dealer regulatory compliance
• Series 6/26, Series 7/24, or Series 14 license
• Knowledge of insurance company operations and distribution is strongly preferred

Knowledge, Skills & Abilities

• Strong legal and compliance skills, careful attention to detail, and excellent reading comprehension skills for review and understanding of legal and compliance materials.
• Demonstrated management and leadership abilities
• Must possess strong persuasion and influencing capabilities
• Ability to empower direct reports to make suggestions for process improvements and to take ownership of projects, etc.
• Ability to work in a dynamic environment and to effectively adapt to change
• Ability to perform in a fast-paced environment while addressing multiple projects and responsibilities
• Demonstrated strong organizational and analytical skills
• Must possess strong research skills and proficiency in Westlaw
• Must be proficiency in Microsoft Office applications, spreadsheets and presentation software
• Strong interpersonal skills necessary to maintain effective working relationships with senior management, employees at all levels, outside attorneys, agents, state insurance department personnel, etc.
• Excellent writing and oral communication skills
• Willingness to work in a collaborative environment
• Ability to organize and complete work with a minimum degree of supervision
• Willingness to actively participate in meetings, decision making, etc.

Other Requirements

• Perform other functions, duties and projects, as assigned.
• Regular and punctual attendance.
• Ability to travel up to 20%.

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