Compliance Analyst – Advertising Review

This is a fully remote position, open to applicants in Texas.

📋 Description

• Evaluate retail communications to ensure compliance with applicable laws and regulations.

• Analyze how laws affect both new and existing retail communications.

• Convey regulatory updates and significant issues to relevant business units, field staff, and customers.

• Monitor retail communications utilizing appropriate methods and tools, adhering to industry and company record-retention policies.

• Assist in the research, drafting, and/or review of insurance and securities products and their advertising materials.

• Engage with regulatory agencies, including the NAIC, state insurance departments, SEC, and FINRA, for clarification on advertising regulations.

• Support the research and response to inquiries and comments from state insurance departments or FINRA.

• Aid in addressing customer and producer questions regarding compliance matters.

• Oversee the subject matter expert review process to guarantee that materials are assessed by all relevant individuals and units.

• Foster consistency in reviews throughout the organization.

• Assist in the upkeep of internal compliance documents, including manuals, reference materials, reports, and website content.

• Undertake other responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree or equivalent experience.

• A minimum of three years of pertinent compliance experience; experience in advertising compliance is preferred.

• Required FINRA registrations: Series 7, 24, and 63.

• Proficient understanding of life insurance and annuity products.

• Basic knowledge of advanced marketing principles.

• Excellent communication skills.

• Capability to manage substantial workloads under strict deadlines.

🏝️ Benefits

• Competitive performance-based bonus.

• Fully remote work arrangement.