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Posted: 10/21/2026Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance with a focus on retail communications, including the interpretation of laws and regulations. Proficient in managing compliance inquiries and maintaining internal compliance materials while effectively communicating regulatory changes.
Highest-signal resume keywords
Compliance ExperienceSeries 7, 24 & 63 FINRA RegistrationsLife Insurance and Annuity Products KnowledgeAdvertising Compliance ExperienceCommunication Skills
About the role
Key responsibilities & impact- Review retail communications against applicable laws and regulations
- Interpret the impact of laws on new and existing retail communications
- Communicate regulatory changes and important issues to business units, field staff, and customers
- Track retail communications using applicable methods and tools according to record retention requirements
- Research, draft, and/or review insurance and securities products and advertising materials
- Correspond with regulatory bodies, including the NAIC, state DOIs, SEC, and FINRA
- Research and respond to comments and inquiries from state insurance departments and FINRA
- Research and respond to customer and producer compliance inquiries
- Manage the subject matter expert review process
- Ensure consistency of reviews across the organization
- Maintain internal compliance materials, including manuals, reference materials, reports, and website
- Perform other duties as assigned
Requirements
What you’ll need- Bachelor’s degree or equivalent experience
- Three years relevant experience in compliance; advertising compliance experience preferred
- Series 7, 24 & 63 FINRA registrations required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
- Good communications skills
- Ability to manage high volumes under tight deadlines
Benefits
Comp & perks- Inclusive health, dental, vision, and life insurance plans
- Mental health benefits
- 20+ days of paid time off (PTO)
- Paid holidays
- 2 paid wellness days
- 401(k) savings plan with company contribution up to 5%
- Access to a financial professional for financial planning
- Paid parental leave
- Health Savings Account and Flexible Spending Account options
- Employee Assistance Program (EAP)
- LifeLock identity theft protection
- Pet insurance
- Paid caregiver leave
- Other voluntary benefits
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Retail Communications ReviewRegulatory InterpretationResearch and DraftingCompliance Inquiry ResponseRecord Retention Tracking
Soft Skills
Good Communication SkillsAbility to Manage High Volumes Under Tight Deadlines
Certifications & Qualifications
Bachelor’s DegreeFINRA Series 7FINRA Series 24FINRA Series 63
Industry Keywords
Insurance ProductsSecurities ProductsNAICState DOIsSECFINRAAdvertising MaterialsCompliance Materials