Advertising Review Compliance Associate

Protective•Birmingham, AL

About The Position

The Advertising Review Compliance Associate role is part of the Regulatory team, specifically within the Advertising Review Team. This team comprises experienced compliance professionals who collaborate with various internal departments such as Marketing, Corporate Communications, Brand, and Training. The associate will be responsible for reviewing a diverse range of marketing and communications materials, providing clear and practical guidance to ensure adherence to applicable insurance and securities regulations. This position is crucial for supporting Protective's broader marketing strategy, covering communications aimed at both financial professionals and consumers, while upholding stringent regulatory standards.

Requirements

Bachelor’s degree or comparable relevant experience.
Minimum 3 years of experience in insurance, financial services, or a related compliance function.
High school diploma or equivalent.

Nice To Haves

Working knowledge of federal and state insurance laws and securities regulations applicable to advertising and public communications.
Understanding of insurance and annuity products, including fixed, indexed, and variable annuities, as well as variable universal life.
Familiarity with FINRA Advertising Regulation Electronic Filing (AREF) system.
FINRA Series 6 or 7 and Series 26 or 24 registrations.
Experience supporting digital and social media advertising compliance initiatives.

Responsibilities

Independently review moderately complex advertising and marketing materials and provide timely, constructive, and compliance‑focused feedback with limited escalation.
Apply federal and state insurance laws, securities regulations, and internal policies to advertising and public communications.
Partner closely with Marketing, Legal, Product subject matter experts, and other stakeholders to identify and address advertising compliance issues early in the development process.
Coordinate compliance reviews for co‑branded materials with external distributors and fund companies.
Participate in product‑related and marketing campaign meetings to provide proactive, solution‑oriented advertising compliance guidance.
Prepare and submit required advertising filings to regulators, including Financial Industry Regulatory Authority (FINRA) Advertising Regulation and state insurance departments.
Monitor regulatory developments impacting advertising and public communications and communicate relevant changes to internal partners.
Contribute to consistent review standards and help promote efficient, collaborative advertising compliance processes.