Job Board
The CEFLI Job Board is a free resource for CEFLI’s Members. Only CEFLI Member Companies may request Compliance or Ethics positions be posted to the CEFLI Job Board. Postings remain on the site for 60 days. Job vacancies are available for viewing by the general public.
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Company Name: EquiTrust Life Insurance Company
Company Location: 7100 Westown Parkway, Suite 200 West Des Moines, Iowa 50266
Job Description: The Senior Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. The Senior Compliance Analyst is responsible for ensuring and enabling the adherence to advertising compliance policies by reviewing and approving advertising materials and collaborating with cross-functional teams to ensure adherence to industry regulations. The Senior Compliance Analyst (Advertising Review) will leverage their deep understanding of the life and annuity industry and the related financial products and services to effectively maintain compliance within EquiTrust’s advertisements. Additionally, this role will be responsible for drafting and modernizing our forms that are used throughout the sales lifecycle.
Job Title: Senior Compliance Analyst (Advertising Review)
Essential Duties and Responsibilities
- Follows, implements, and adheres to advertising compliance policies and procedures in alignment with insurance industry regulations.
- Reviews and approves advertising and marketing materials to ensure compliance with industry guidelines and internal policies.
- Provides guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements.
- Stays current with changes in financial industry regulations and update compliance policies as needed.
- Collaborates with internal legal counsel as necessary to address compliance issues and inquiries.
- Monitors and tracks advertising campaigns, keeping detailed records and documentation of compliance efforts.
- Conducts periodic audits and reviews to identify and rectify potential compliance violations.
- Collaborates with other departments to modernize forms and documents.
- Supports the Regulatory and Compliance team and/or other departments on an as needed basis.
- Willingly takes on additional responsibilities as requested in order to accomplish department and Company objectives.
- Actively participates and contributes to the goals and objectives of the Company by working collaboratively and fostering a positive and inclusive work environment.
Skills and Abilities
- Exceptional attention to detail, analytical skills, and the ability to interpret complex regulatory requirements.
- Strong communication skills to work with advisors, vendors, and internal teams and the ability to collaborate across departments.
- Proficiency in relevant software and compliance tools
- Ability to work independently, meet deadlines, and adapt to a fast-paced and changing regulatory environment.
- Ability to prioritize workflows, establish and meet deadlines and manage multiple concurrent tasks.
- Document and Form drafting experience.
Training or Work Experience
- A minimum of 3 years of experience in advertising compliance within a life insurance and/or annuity, or financial services industry required.
- 5 years of experience in advertising compliance within a financial services industry is preferred.
- Experience in advertising compliance within a financial services industry at a broker/dealer firm preferred.
Education
- Bachelor’s Degree required: Bachelor’s Degree in Business Administration, Economics, Finance, or a related field is preferred.
Working Conditions
- Infrequent travel (less than 5% of the time).
Click HERE to apply!
Company Name: American National Insurance
Company Location(s): League City, TX, Galveston, TX, Springfield, MO, Glenmont, NY
Job Description:
- American National is seeking a Business Area Compliance Leader (BACL), within the company’s Corporate Compliance department, to partner directly with assigned business area(s) to ensure that operations are conducted in compliance with regulatory and legal requirements and company policies. This role takes part in various types of compliance and operational reviews with assigned business areas to d
Job Requirements:
- Minimum Qualifications: Bachelor’s degree in or related to business, legal, financial services and/or regulatory compliance.
- Six to eight years of relevant experience in a corporate compliance role and/or related operational role performing or implementing compliance practices.
- Experience in key client facing role, with demonstrated experience establishing relationships with business partners Pre
Click HERE to apply!