Cnect

Compliance Analyst – Advertising Review

Cnect

full-time

Posted on:

Location Type: Remote

Location: United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $62,000 - $91,000 per year

About the role

  • 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.
  • Assists 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.
  • Assists in researching and responding to customer and/or producer inquiries about compliance issues.
  • Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units.
  • Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization.
  • 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 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
Benefits
  • Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
  • Easy access to mental health benefits to meet our team members and their families where they are.
  • 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
  • 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
  • Paid parental leave to support all team members with birth, adoption, and foster.
  • Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
  • Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
complianceadvertising complianceinsurance productssecurities productsretail communicationregulatory researchdraftingreviewingrecord retentionmarketing concepts
Soft Skills
communication skillsorganizational skillstime managementattention to detailcollaborationproblem-solvingconsistencycustomer serviceadaptabilitycritical thinking
Certifications
Bachelor's degreeSeries 7 FINRA registrationSeries 24 FINRA registration