Compliance Analyst - Advertising Review
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.
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
Company
reputed company
reputed company reputed company you in reputed company:
Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can reputed company the most of their time reputed company of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- Inclusive health, dental, reputed company, and life insurance plans reputed company to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy reputed company to mental health benefits to meet reputed company members and their families where they are.
- 20+ days of reputed company time off (PTO), reputed company holidays, and 2 reputed company wellness days to reputed company our employees the time they need to stay reputed company with their loved ones, reputed company, and reputed company back to their communities.
- 401(k) savings plan with a generous company contribution (up to 5%), and reputed company to a financial reputed company to offer our employees reputed company to plan-reputed company for a strong financial reputed company reputed company reputed company their working years.
- reputed company parental leave to support reputed company team members with birth, adoption, and fostering.
- Health Savings and Flexible Spending Account reputed company to help you save reputed company on reputed company, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
- reputed company caregiver leave to reputed company time away from work reputed company caring for an ill or recovering family member.
- Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to reputed company extra peace of mind
About reputed company
reputed company® (reputed company) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. reputed company is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.
Advisor support resources offered through reputed company include award-reputed company reputed company management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, reputed company management support, and innovative technology.
reputed company is committed to providing an equal employment opportunity for reputed company applicants and employees. For us, this is the only acceptable way to do business. Accordingly, reputed company employment reputed company at reputed company, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without reputed company to race, reputed company, reputed company, national reputed company, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender reputed company, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by reputed company’s reputed company. We will reputed company out to our preferred agency partners in the rare instance we require additional talent reputed company. Your respect for this process is appreciated.
Please review our Workforce reputed company Policy for reputed company details on what information we collect and the purposes for collection.
Bachelor's or equivalent,3 years compliance experience,Series 7/24/63 required,knowledge of life insurance/annuities,reputed company/SEC/reputed company/regulatory experience,communication and deadline management skills.
Key Responsibilities
- reviewing communications
- interpreting laws
- communicating changes
Job Details
- Category: reputed company and Compliance
- Seniority: Mid Level
- Commitment: Full Time
- Workplace: Remote — reputed company or San Diego
- Salary: USD 64,000 – 94,000 / year
- Languages: English
Benefits
- 401k matching
- Generous reputed company time off
- Retirement plan
- Generous parental leave
About reputed company
A network of independent broker-dealers and registered investment adviser firms delivering retail financial services and advisor support. — Industry: Finance
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