Sr. Registered Advertising Compliance Analyst - World Financial Group/Transamerica Financial Advisors
About The Position
The Sr. Registered Advertising Compliance Analyst independently reviews advertising, marketing, and communications materials to support compliance with company standards and applicable regulatory requirements. The role applies broad knowledge of advertising compliance concepts and principles to evaluate complex materials and enable the organization. The analyst reviews and approves materials across business lines, interprets relevant regulations and policies, identifies regulatory and reputational risks, and advises business partners and other stakeholders. The role also maintains review records, coordinates regulatory filings when required, helps improve review practices and controls, contributes to reporting and analysis, and participates in regulatory examinations, internal reviews, and audits. The position is hybrid, with three in-office days per week at a hub location in Cedar Rapids, Denver, or Philadelphia, and may involve occasional travel of less than 10%.
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 24, 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 U.S. 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 and interpreting applicable regulatory requirements, guidance, and policy changes.
- Evaluate complex advertising submissions, identify regulatory and reputational risks, and determine appropriate remediation or escalation.
- Provide guidance and support to business partners, sales, marketing, product teams, representatives, supervisors, and other stakeholders on advertising compliance standards.
- Maintain records, approvals, documentation, and evidence supporting advertising review activities in accordance with applicable recordkeeping requirements.
- Determine whether advertising materials require regulatory filing, as applicable, 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, workflow 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, review documentation for completeness and accuracy, and assist with responses or remediation.
- Assist team members with research, assigned tasks, 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.
- 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.
- Be Well Company holistic wellness program, including 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.
- PTO for volunteer hours.
- Employee matching gifts program.
- Employee Resource Groups.
- Inclusion and diversity programs.
- Employee recognition program.
- Referral bonus programs.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
