Compliance Consultant – Advertising Compliance

About the role

We are seeking candidates with experience in advertising review and/or advertising filing, ensuring compliance with applicable regulatory requirements. This role supports our Advertising Review and Advertising Filing functions, ensuring that all fixed life insurance and annuity marketing materials and communications meet regulatory standards and internal policies.

Responsibilities

• Receive, review, and research applicable state and federal regulations to ensure all regulatory requirements are incorporated into company policies and practices for both Life and Annuity.
• Use professional judgement and forward thinking to adapt regulations to fast-paced changes in the business units and insurance industry.
• Partner with and provide subject matter expertise to Sr. Compliance Consultants, Team Advisor or Manager with the receipt, review, research, investigation of and response/preparation to regulatory agencies and client initiated complaints of small to medium scope as assigned by manager.
• Attend compliance related meetings and present information as assigned; perform internal investigations and agent investigations when necessary.
• Surveying customers may be required within some projects.
• Aid compliance senior management in all aspects of the compliance function related to developing and implementing policies, procedures and controls; conducting reviews of compliance processes and operations; ensuring implementation of any required corrective actions; managing projects; developing and implementing systems to automate processes and procedures to enhance efficiencies.
• Develop and maintain good relationships with both internal and external customers by handling tasks in a timely and professional manner.
• Handle tasks in a timely and professional manner, including collaborating and negotiating with state regulators to resolve concerns as well as fostering relationships with state insurance department personnel in order to address decisions rendered by state personnel and, at times, openly and diplomatically address disagreements or concerns.
• Research and address/resolve "Red Flag" issues.
• Communicate and train appropriate employees regarding new laws and regulations for both Life and Annuity.
• Document, Update and Monitor Legislative Briefing Database.
• Serve as subject matter expert for field compliance manual and/or advertising guidelines.
• Notify manager of necessary changes and help ensure that updates are provided to business partners on a no less than annual basis.
• Ensure all compliance-related procedures are appropriately documented and categorized in a compliance manual format.
• Accountable for maintenance of files as well as participating in the in the review, collection of data, data testing and response to Market Conduct Exams and 38(a)-1.
• Use SLS concepts and/or other practices to assist manager with incorporating the shared values and division vision and mission statement into the department.

Requirements

• Bachelor's Degree in business or related field preferred or equivalent business experience.
• Preferred 3-4 years' relevant compliance, internal audit or other equivalent experience.
• Preferred Working knowledge of life and annuity products, with specific knowledge of insurance company operations.
• Strong analytical solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
• Excellent attention to detail and accuracy; including proofreading skills.
• Ability to manage multiple tasks simultaneously and manage competing priorities.
• Ability to work independently and be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions.
• Organizational skills.
• Demonstrate professionalism and an aptitude for problem resolution.
• Advanced computer skills, including Microsoft Word and Excel and Adobe Acrobat.
• Excellent written and verbal communication skills.
• Excellent interpersonal and customer service skills.

Qualifications

• Minimal overnight travel; anticipate up to 5%.

Benefits

• Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance.
• Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success.
• Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k).
• Work–life balance that means something. Friday afternoons off year-round, generous paid time off, and paid holidays.
• Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs.
• Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you.
• An ownership culture that inspires; join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success.

Pay

USD $49,628.00 - USD $93,052.00 /Yr. Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience.

Schedule

Not specified.