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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance with a focus on advertising regulations, including the ability to interpret laws affecting retail communication and manage the review process. Proficient in maintaining compliance materials and communicating effectively with regulatory bodies and internal stakeholders.
Highest-signal resume keywords
Bachelor's DegreeThree Years Compliance ExperienceSeries 7, 24 & 63 FINRA RegistrationsLife Insurance and Annuity Product KnowledgeAdvertising Compliance Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance ReviewRegulatory InterpretationResearch and DraftingAdvertising RegulationRecord Retention Methods
Soft Skills
Good Communication SkillsAbility to Manage High Volumes Under Tight Deadlines
Certifications & Qualifications
Series 7 RegistrationSeries 24 RegistrationSeries 63 Registration
Industry Keywords
Retail CommunicationInsurance ProductsSecurities ProductsNAICFINRA
About the role
Key responsibilities & impact- Review retail communication against applicable laws and regulations
- Interpret the impact of laws on new and existing retail communication
- Communicate changes and important issues to affected business units, field, and customers
- Track retail communication using applicable methods and tools according to industry/company record retention requirements
- Research, draft, and/or review insurance/securities products and advertising materials
- Correspond with regulatory bodies such as the NAIC, state DOIs, SEC, or FINRA for advertising-regulation clarification
- Research and respond to comments and inquiries from state insurance departments or FINRA
- Research and respond to customer and producer inquiries about compliance issues
- Manage the subject matter expert review process
- Promote 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- Competitive performance-based bonus
- Fully remote work arrangement