Heidi Pemberton Email & Phone Number

Atlanta, GA, US

Atlanta, Georgia, United States

Woodstock, Georgia

• Led robust advertising review / approval policies and procedures to ensure state and federal level regulation compliance.
• Collaborated with Marketing and Sales leadership to align departmental initiatives to establish partnership and ensure effective advertising and sales literature.
• Monitored and interpreted regulatory changes to formulate and disseminate recommendations for business and reputational risk mitigation.
• Conducted review of annuity and life insurance sales and marketing materials to comply with NAIC Model regulations and state specific advertising regulations.
• Acted as a liaison between our Carriers, Broker / Dealers, and Registered Investment Advisory firms’ Chief Compliance Officers to strengthen business relationships.
• Developed advertising compliance training program for new employees to accelerate onboarding process.

Woodstock, GA

• Established and created compliance function for ensuring regulatory compliance and risk mitigation.
• Led, developed, and implemented, a robust advertising review / approval process to comply with insurance advertising regulatory compliance.
• Standardized the compliance, legal, and operational submission process through documentation of comprehensive policies and procedures to streamline interdepartmental efficiencies.
• Pre-reviewed legal agreements with 3rd-party vendors, carriers, and event-related providers to help ensure fair and balanced terms and conditions.
• Oversaw all court-ordered subpoenas, complaints and regulatory inquisitions and coordinated with appropriate departments, including our legal team resulting in more efficient timely responsiveness.
• Increased compliance awareness and accountability by developing and delivering annual company-wide compliance training.

Dallas, Texas, United States

• Managed a compliance function for a retail Broker / Dealer.
• Established and maintained all B / D related regulatory documents including the BCP, WSP’s, Fidelity Bonds, Form BD, U-4’s, and U-5’s to adhere to FINRA requirements.
• Reviewed, submitted, and maintained FINRA no-objection documentation for all marketing / advertising materials to comply with FINRA requirements.
• Reviewed and maintained all electronic communications sent and received by the RRs of the firm to meet FINRA requirements.
• Managed Blue-Sky process for each offering; Updated due-diligence files on all offerings.
• Developed contact tracking and management system to help firm maximize the sales cycle.