Key skills
Communication
About this role
Role Overview
- Review retail communication against applicable laws and regulations.
- Interpret impact of laws on new and existing retail communication.
- Communicate changes and important issues to affected business unit, field, and customers.
- Effectively track retail communication using applicable methods and tools per industry/company record retention requirements.
- 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.
- Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA
- 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 all applicable individuals/units.
- Strives for consistency of the reviews on an ongoing basis 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.
Requirements
- Bachelor’s degree or equivalent experience
- Three years relevant experience in compliance (advertising Compliance experience preferred)
- Series 7 & 24 FINRA 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.
Benefits
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.