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.
- Involved 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.
- Assist in researching and responding to customer and/or producer inquiries about compliance issues.
- Manage subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
- Strive for consistency of the reviews on an ongoing basis.
- 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 & 63 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