Senior Compliance Analyst - Advertising Reviewer (Hybrid)

Responsibilities

• Review and approve company, product, and producer advertising material for compliance with state and federal advertising laws and regulations.
• Determine whether regulatory filings of advertising are required and coordinate as needed.
• Build and maintain rules in the advertising review system.
• Maintain final copies of advertising and other related documentation.
• Participate in regulatory and corporate audits for advertising compliance.
• Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
• Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to the organization and advise business partners.
• Update and maintain complete and accurate policies, procedures, compliance logs or files.
• Affiliate with team members with research and assigned tasks; provide training to supported teams.
• Perform special projects as assigned.

Qualifications

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
• Four years of regulatory, securities, or advertising compliance experience.
• Comprehensive knowledge of insurance advertising laws and regulations.
• FINRA Series 6 & 26 or able to obtain within 90 days.
• Strong written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

Preferred Qualifications

• Comprehensive knowledge of securities advertising laws and rules.
• FINRA Series 7 & 24.

Compensation

The Salary for this position generally ranges between $80,000 - $90,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additional Information

This position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.