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 how laws influence both new and existing retail communications.

• Relay updates on regulatory changes and significant issues to business units, field personnel, and clients.

• Monitor retail communications using appropriate methods and tools in line with record retention policies.

• Investigate, draft, and/or review materials related to insurance and securities products and their advertising.

• Liaise with regulatory entities such as the NAIC, state Departments of Insurance, SEC, and FINRA.

• Conduct research and address comments and inquiries from state insurance departments and FINRA.

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

• Oversee the review process involving subject matter experts.

• Ensure uniformity in reviews throughout the organization.

• Keep internal compliance documents up to date, including manuals, reference materials, reports, and online content.

• Execute additional responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree or equivalent professional experience.

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

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

• Familiarity with life insurance and annuity products is essential.

• Basic understanding of advanced marketing principles.

• Strong communication skills.

• Capability to handle high workloads within strict deadlines.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance options.

• Mental health support services.

• Over 20 days of paid time off (PTO).

• Paid holidays.

• Two paid wellness days.

• 401(k) retirement savings plan with company matching contributions up to 5%.

• Access to a financial professional for financial planning assistance.

• Paid parental leave.

• Options for Health Savings Accounts and Flexible Spending Accounts.

• Employee Assistance Program (EAP).

• LifeLock identity theft protection.

• Pet insurance coverage.

• Paid caregiver leave.

• Additional voluntary benefits available.