Compliance Analyst – Advertising Review

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

📋 Description

• Evaluate retail communications for compliance with relevant laws and regulations.

• Analyze the implications of laws on both new and existing retail communications.

• Relay changes and significant issues to the pertinent business units, field personnel, and customers.

• Diligently track retail communications using appropriate methods and tools in accordance with industry and company record retention standards.

• Aid in the research, drafting, and/or review of insurance/securities products and/or marketing materials.

• Engage with relevant regulatory bodies for clarification on advertising regulations as necessary.

• Provide support in researching and addressing comments and/or inquiries from state insurance departments or FINRA.

• Assist in investigating and responding to inquiries from customers and/or producers regarding compliance matters.

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

• Ensure ongoing consistency in reviews to maintain uniformity across the organization.

• Help maintain internal compliance documents such as manuals, reference materials, reports, and the website.

• Perform additional duties as assigned.

⛳️ Requirements

• Bachelor’s degree or equivalent professional experience.

• Minimum of three years of relevant experience in compliance (preferably in advertising compliance).

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

• Familiarity with life insurance and annuity products.

• General understanding of advanced marketing concepts.

• Excellent communication skills are essential.

• Capability to manage high workloads within tight deadlines.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance plans designed to accommodate diverse lifestyles, provide preventative care, and offer protection against financial hardship.

• Convenient access to mental health resources to support our team members and their families.

• More than 20 days of paid time off (PTO), paid holidays, and 2 paid wellness days to allow employees to spend quality time with loved ones, recharge, and contribute to their communities.

• 401(k) Savings plan featuring a generous company contribution (up to 5%) and access to financial professionals, empowering employees to plan for a secure financial future beyond their working years.

• Paid parental leave to support all team members during birth, adoption, and foster care.

• Health Savings and Flexible Spending Account options to help save on healthcare, daycare, commuting, and more.

• Employee Assistance Program (EAP), LifeLock, Pet Insurance, and additional benefits.