Senior Compliance Analyst – Advertising

Palmer Group is partnering with our client to fill the role of Senior Compliance Analyst – Advertising. This role involves reviewing advertising content and product collateral to ensure compliance with applicable laws and regulations, collaborating with cross-functional teams for necessary adjustments, and providing compliance support to the organization. If you have a background in compliance and are committed to upholding regulatory standards in the advertising field, we invite you to apply for this position today! 

Responsibilities: 

• Review advertising content and product-related collateral for compliance with applicable laws, regulations, and internal guidelines
• Evaluate risks and work with other departments to implement required changes
• Complete filings with appropriate regulatory bodies, including FINRA and individual states
• Communicate with internal and external customers on the company’s advertising guidelines and procedures
• Provide advertising compliance support to the business, managing expectations and building effective partnerships
• Work with business partners to ensure recommended changes to advertising and marketing collateral are implemented
• Ensure appropriate document retention for advertising review projects
• Support internal operations to ensure continued compliance with policy/contract language for all in-force policies
• Lead projects as assigned, and direct work during those projects as necessary
• Conduct research and interpret laws and regulations, making changes to company policies and procedures as required to ensure compliance
• Provide input for compliance reviews based on internal experience and operational knowledge
• Perform other related work as assigned

Requirements:

• Bachelor’s degree in business or related field of study
• 5+ years of related compliance or operational risk management experience
• Fixed Indexed Annuity and Registered Product compliance experience are highly preferred
• Experience with FINRA advertising filing
• Experience with a registered investment advisor or broker/dealer preferred
• Experience working with standard concepts, practices, and procedures related to life and annuity compliance preferred

Work Model: 

• On-site 

Interested and qualified candidates can contact Palmer Group at (515) 225-7000 or email afjobs@thepalmergroup.com.

Ref: JOB-43981