Compliance Analyst - Advertising Review

Review retail communication against applicable state, federal, and internal standards, including FINRA and SEC rules. Interpret regulatory impacts on new and existing materials, then communicate changes to affected business units, fields, and customers. Assist in researching, drafting, and reviewing insurance and securities products while managing subject matter expert review processes to ensure organizational consistency. Correspond with regulatory bodies like the NAIC, state DOIs, and SEC for clarification, and respond to inquiries from state insurance departments, FINRA, and customers regarding compliance issues. Maintain internal compliance materials such as manuals, reference guides, reports, and the website.