Compliance Analyst – Advertising Review

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

📋 Description

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

• Assess the implications of legal requirements on both new and existing retail communications.

• Inform relevant business units, field personnel, and customers about changes and significant issues.

• Monitor retail communications utilizing the appropriate methods and tools in line with industry and company record retention policies.

• Conduct research, draft, and/or review materials related to insurance/securities products and advertising.

• Liaise with regulatory agencies such as the NAIC, state Departments of Insurance, SEC, or FINRA for clarifications regarding advertising regulations.

• Investigate and address comments and inquiries from state insurance departments or FINRA.

• Research and respond to questions from customers and producers regarding compliance matters.

• Oversee the review process involving subject matter experts.

• Foster uniformity in reviews throughout the organization.

• Maintain internal compliance documentation, including manuals, reference guides, reports, and online resources.

• Carry out additional responsibilities as assigned.

⛳️ Requirements

• Bachelor's degree or equivalent professional experience.

• Minimum of three years of relevant experience in compliance, with a preference for advertising compliance experience.

• Possession of Series 7, 24, and 63 FINRA registrations is mandatory.

• Familiarity with life insurance and annuity products.

• General understanding of advanced marketing principles.

• Strong communication skills.

• Capability to handle a high volume of work within tight deadlines.

🏝️ Benefits

• Competitive performance-based bonuses.

• Fully remote work arrangement.