Compliance Consultant – Advertising Compliance

Responsible for performing detailed research and review of regulatory requirements and addressing changes for the industry as required. Required activities may also include reviewing advertising and sales literature to ensure compliance with corporate guidelines as well as state laws and regulations for both consumer and agent use only ads. 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. 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. Bachelor's Degree business or related field preferred or equivalent business experience Preferred Juris Doctorate degree 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 Ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials Excellent interpersonal and customer service skills 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 Depending on the specific role, may require one or more of: FINRA Series 6, 7, 24, 26, 63, 65, 66, CRCM, CCEP, CAMS, or ability and commitment to obtain within 120 days of the job date If the position is in the SIG business unit, Annuity New Business Securities team, or if we are holding securities licenses (such as roles aligned with Wealth Management or Securities), FINRA regulations require fingerprinting for the position.