Sales Material Compliance Senior Associate (7728BR) New York, New York
Reviews agent, registered representative, corporate advertising, and marketing material for compliance with applicable rules and regulations.
Key responsibilities include:
- Conduct complete and timely compliance reviews of advertising and sales literature materials for the sales force and corporate submitters to ensure compliance with FINRA/SEC Rules, and NAIC Guidelines, as well as Company policies and procedures.
- Respond to all inquiries regarding advertising concerns.
- Educate our "customers" about the advertising review process, as well as applicable policies and procedures.
-Educate and update clients on specific changes within the industry affecting advertising material review and approval process.
Role will be based in New York, NY home office. Will require working two or three days in Parsippany, NJ location.
At a minimum must have Series 6 and 26 FINRA Licenses. Series 7 and 24 are preferred. If applicable, Series 7 and 24 must be obtained within 6 months of
. Knowledge of life insurance and annuity products, including variable universal life.
.Must have knowledge of Federal and State insurance and securities laws and regulations, including FINRA rules applicable to communications with the public specifically, as these relate to the compliance standards for securities and insurance products marketing and sales material.
. Experience/familiar with review of retirement plan services.
. Must be able to review and process, in a timely manner, all material assigned for review and approval.
. Must have excellent verbal and written communication skills.
. Must have outstanding organizational skills to process a high volume of documents daily.
. Must be able to work effectively under pressure; constant deadlines.
. Must have excellent computer skills.
. Must have good judgment, be a self-starter and proactive.
. Must be objective and professional.
. Must exhibit excellent customer service; always respond promptly and in a professional manner.
Must have 4-year college degree.
Series 6 and 26 FINRA Licenses (Series 7 and 24 preferred). If applicable, 7 and 24 will be required within the first six months from hired date.
Responsible for review and approval of sales material and advertisements produced by Agents, Registered Representatives, and Corporate Submitters. This individual will be responsible for review of this material.