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VP, Chief Compliance Officer at Fidelity & Guaranty Life Insurance Company. . Location: Remote. 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%.. . . #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 . [email protected]. . . 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 Workplace. 1. , an Iowa Top Workplace. 2. 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 . .  . . Notice for all Applicants who are California residents under the California Privacy Rights Act. Please click . here. to review the policy.