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Job Type
Full-time
Description
Full Job Description:
IFP is currently seeking a Sr. Compliance Analyst for Advertising Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of insurance and securities. This role can be based remotely.
Position Title:
Sr. Compliance Analyst, Advertising Review
What we need:
IFP is currently seeking a Sr. Compliance Analyst for Ad Review. This is a unique opportunity to join our team to ensure that all retail communication complies with state and federal laws, rules and regulations, and internal standards. This also includes Federal and State Insurance Regulations as well as FINRA and SEC Rules. This position will work in the areas of securities brokerage and investment advisory business practices. This role can be based remotely.
What you will you do:
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.
Gets Involved in the following activities to ensure compliance with laws and regulations:
Assists in researching, drafting, and /or reviewing securities products and services and/or adverting materials
Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. This may include the FINRA and the SEC.
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
Assist in other compliance filing and duties, including evaluating proposed OBA’s, Solicitor Arrangement, Rep disclosures such as ADV 2B, Political Contributions, Private Security Transactions
Other duties as assigned etc.
Requirements
What you need to have:
Bachelor’s degree or equivalent experience
Three years relevant experience in compliance (advertising Compliance experience preferred)
Series 7 & 24 FINRA registrations required. Series 53 and 4 preferred additional registrations.
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
Qualifications:
Series 24, Series 7, Marketing Supervision Experience