Heidi Pemberton Email & Phone Number

Dallas, Ga, Us

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.• Developed and maintained a company-wide data security employee incentive program to incentivize compliant employee behavior.

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.• Directed the disbursement of all Confirmations of Sales and Commission Payments earned by each Soliciting Dealer firm for each offering to expedite commission and payment process.• Scheduled and prepared annual 3012 / 3013 exam, annual AML Compliance exam, and annual Firm Element and CE courses for each RR.