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.
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
Skills
- Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
- A basic knowledge of the securities laws, regulations, and rules
- Written and verbal communication skills
- Analytical and research skills
- Proficiency using MS Office tools
- Series 7 & 24 or Series 6 & 26, as applicable
- Regulatory, securities, or advertising compliance experience
Benefits
- Annual Bonus of 6% based on the Company Bonus Plan/Individual Performance
Company Overview
Aegon offers products and services in the life insurance, pension, retirement, and asset management fields. It was founded in 1983, and is headquartered in Den Haag, Zuid-Holland, NLD, with a workforce of 10001+ employees. Its website is https://www.aegon.com/.
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