Senior Registered Advertising Compliance Analyst - World Financial Group/Transamerica Financial Advisors
About The Position
The Senior Registered Advertising Compliance Analyst independently reviews advertising, marketing, and communications materials to help ensure compliance with company standards and applicable regulatory requirements. The role applies broad advertising-compliance knowledge to assess complex submissions, identify regulatory and reputational risks, and determine remediation or escalation. The analyst advises business partners and other stakeholders on advertising-compliance standards, maintains review records and approvals, and determines when regulatory filings are required, coordinating filings as needed. The position also contributes to improved review procedures, tools, and controls; prepares information and analysis for management, regulatory, or compliance reporting; and participates in examinations, internal reviews, and audits. The analyst may support team members through research, training, and knowledge-sharing. This is a hybrid position requiring three days in the office each week at a hub location in Denver, Cedar Rapids, or Philadelphia. Occasional travel may be required for team meetings, training, regulatory matters, or business-partner support, at less than 10%. Relocation assistance is not provided.
Requirements
- Bachelor’s degree in business, legal studies, risk management, compliance, or a related field.
- At least 5 years of regulatory, securities, insurance, marketing, advertising-compliance, or related compliance experience.
- At least 2 years of experience reviewing advertising requirements, marketing communications standards, and applicable state, federal, securities, insurance, FINRA, and/or SEC rules and regulations.
- FINRA Series 7 and Series 24 registrations, or ability to obtain them within 6 months of the job entry date.
- Strong written and verbal communication skills, including the ability to explain compliance requirements clearly to business partners and stakeholders.
- Analytical, research, organizational, and critical-thinking skills, with strong attention to detail and accuracy.
- Ability to coordinate and prioritize multiple reviews, filings, projects, and deadlines in a fast-paced environment.
- Proficiency with Microsoft Office tools and other applicable advertising-review, document-management, or workflow systems.
- Legal authorization to work in the United States without immigration-related employment sponsorship.
Nice To Haves
- FINRA Series 65 or 66, depending on investment-advisor support, or other FINRA registrations based on assigned responsibilities.
- Experience with an insurance marketing-compliance platform such as Red Oak.
Responsibilities
- Independently review, analyze, edit, and approve business-line advertising, marketing, and communications materials, researching applicable regulatory requirements, guidance, and policy changes.
- Evaluate complex advertising submissions, identify regulatory and reputational risks, and determine appropriate remediation or escalation.
- Guide and support business partners, sales, marketing, product teams, representatives, supervisors, and other stakeholders on advertising-compliance standards.
- Maintain records, approvals, documentation, and evidence supporting advertising reviews in accordance with applicable recordkeeping requirements.
- Determine whether advertising materials require regulatory filing and coordinate filings with FINRA, state insurance departments, or other regulators as needed.
- Identify, recommend, and help implement practices, procedures, tools, and controls to improve review quality, consistency, efficiency, and regulatory compliance.
- Compile information for management, regulatory, or compliance reporting; analyze information, identify trends, and follow up on enhancement opportunities with minimal supervision.
- Participate in regulatory examinations, internal reviews, and corporate audits related to advertising compliance; gather information, check documentation, and assist with responses or remediation.
- Assist team members with research, assigned work, training, and knowledge-sharing, and provide subject-matter input on advertising-compliance matters and escalations.
Benefits
- Competitive pay.
- Annual bonus eligibility based on the Company Bonus Plan and individual performance, at the company's discretion.
- Comprehensive benefits package for eligible employees.
- Pension plan.
- 401(k) match.
- Employee stock purchase plan.
- Tuition reimbursement.
- Disability insurance.
- Medical insurance.
- Dental insurance.
- Vision insurance.
- Employee discounts.
- Career training and development opportunities.
- Paid time off starting at 160 hours annually for employees in their first year of service.
- Ten paid holidays per year.
- Holistic wellness program with wellness coaching and reward dollars.
- Paid parental leave of 15 days per calendar year for eligible employees with at least one year of service.
- Adoption assistance.
- Employee assistance program.
- Back-up care program.
- Paid time off for volunteer hours.
- Employee matching gifts program.
- Employee resource groups.
- Inclusion and diversity programs.
- Employee recognition program.
- Referral bonus programs.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
