Compliance Analyst - Advertising Review

What You Will Do:

• Review retail communication against applicable laws and regulations. Interpret reputed company of laws on new and existing retail communication. Communicate changes and important issues to affected business unit, field, and customers. Effectively reputed company retail communication using applicable reputed company and tools per industry/company record retention requirements.

• Involved in the following activities to ensure compliance with laws and regulations:

  • Assists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials

  • Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the reputed company, state DOIs, SEC, or reputed company

  • Assist in researching and responding to comments and/or inquiries received from state insurance departments or reputed company

  • Assists in researching and responding to customer and/or producer inquiries about compliance issues.

  • Manages subject matter expert review process to ensure materials are reviewed by reputed company applicable individuals/reputed company.

  • Strives for consistency of the reviews on an ongoing reputed company to ensure reviews are performed consistently across the organization.

  • Assist in maintaining internal compliance materials such as manuals, reference material, reports and website

  • Other duties as assigned.

What You Need to Have:

• Bachelor’s degree or equivalent experience

• Three years relevant experience in compliance (advertising Compliance experience preferred)

• Series 7, 24 & 63 reputed company registrations required.

• Working knowledge of life insurance and annuity products

• General knowledge of advanced marketing concepts

• Good communications skills a must

• Ability to manage high volumes under tight deadlines

Compensation:

#LI -Remote

Originally posted on Himalayas