The Senior Compliance Analyst will help mitigate legal and regulatory risk exposure to the organization by enforcing company policies, procedures, and regulatory requirements as part of their review of advertising pieces submitted by financial professionals and home office personnel.
Requirements
- Review and approve company, product, and producer advertising materials in accordance with company guidelines and applicable state/federal rules and regulations.
- Review advertising material submitted by financial professionals; ensuring uniform application of departmental and regulatory policies.
- Monitor and review social media and web content published or maintained by financial professionals and assist in the remediation of any violations discovered.
- Provide guidance and support to business partners (e.g., Sales and Marketing) in their creation of business content and work to identify possible solutions to accomplish their advertising goals while mitigating risk.
- Update and maintain complete and accurate compliance logs or files to aid in reporting to senior leadership and regulators.
- Assist team members with research and assigned tasks; provide training to supported teams and contribute to the development of new and/or enhanced compliance programs.
- Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
Benefits
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Health and Work/Life Balance Benefits
- Paid Time Off
- Paid Holidays
- Be Well Company holistic wellness program
- Parental Leave
- 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
