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Aegon · 5 hours ago

Compliance Analyst – WFG & TFA

United States

Full-time

Hybrid

New Grad, Entry Level

$50K/yr - $60K/yr

Aegon is a company focused on mitigating legal exposure and risk for the WFG & TFA organizations. The Compliance Analyst will assist in enforcing company policies and regulatory requirements while providing guidance on compliance matters.

Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement

Responsibilities

Review WFG & TFA policies and procedures; identify and help to implement new and/or enhanced practices

Analyze processes, services, and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements

Compile information for completion of reporting, including reports for management and state/federal regulators. Based on the complexity of requests, perform analysis, identify trends, and follow up on opportunities for enhancement

Update and maintain complete and accurate policies, procedures, compliance logs, and files

Analyze company responses to regulatory complaints and assist with completion

Coordinate regulatory examinations

Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations

Review provided information for completeness and accuracy

Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements

Support the review and response to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels by gathering information

Qualification

Securities laws knowledgeRegulatory compliance experienceAnalytical skillsResearch skillsMS Office proficiencyWritten communication skillsVerbal communication skills