Advertising Compliance Reviewer Job at Equitable in Charlotte

Overview

Join to apply for the Advertising Compliance Reviewer role at Equitable.

Equitable is committed to inclusivity, flexibility, and connection. This position offers a flexible hybrid office/remote work environment and is based in the Charlotte, NC office.

If you are ready for this challenge, apply today.

Responsibilities

• Reviewing and providing guidance on revisions for advertising and sales material developed by or on behalf of individual Financial Professionals and, in some cases, marketing collateral created by internal business lines and corporate marketing teams. Reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards for fair and balanced communications.
• Conducting reviews of traditional and digital retail field-generated and corporate-created advertisements and sales/training material to offer constructive, timely feedback and revisions to ensure compliance before final registered principal approval.
• Providing support and guidance to retail field associates, branch office personnel, and corporate personnel regarding regulatory, industry, and company requirements and standards.
• Filing material with FINRA Advertising Regulation and various state insurance departments when applicable and required.
• Participating in product-related and general marketing campaign/material development meetings to provide proactive, constructive feedback from the advertising compliance perspective.
• Keeping current on industry developments affecting marketing, sales material and public communications and advising internal clients of changes in applicable rules and regulations.
• Creating and maintaining effective working relationships with compliance colleagues, internal legal counsel, branch and regional staff, marketing professionals, product SMEs, and other company personnel.
• Focus on Top Firm Producers – primary reviewer of content generated by some of Equitable’s highest producing associates.
• Written Supervisory Procedures – act as the point person for maintenance and updating of the group’s written supervisory procedures.
• Compliance Manual – provide ongoing feedback regarding the timeliness and accuracy of the Communications with the Public chapter of the firm’s Compliance Manual.

In-office schedule: This team member will work in the office 2-3 days per week.

Compensation and Benefits

The base salary range for this position is $95,000-$115,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits, including medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the Equitable Total Rewards Program.

Qualifications

Required Qualifications:

• BA/BS degree
• FINRA Series 7 and Series 24 preferred. Candidates with Series 6 and 26, or with Series 7 or Series 6 and a requirement to obtain Series 24 or Series 26 within 90 days of employment, will be considered.
• Demonstrable experience in an advertising/sales material compliance reviewer role, preferably with an insurance company affiliated broker/dealer, working with retail field commission- and fee-based producers, as well as with corporate product, marketing, and business areas.
• Established working knowledge of FINRA (Rule 2210), SEC and state securities and insurance department rules and regulations, and foundational knowledge of variable annuity, variable life, and mutual fund products as discussed and promoted in traditional advertising, sales literature, internal training material, and electronic/digital communications.
• Ability to interpret and apply these rules in a business environment to balance effective marketing and compliance.
• Ability and willingness to support areas of the company as needed (retail field associates, corporate marketing, brand marketing, digital marketing, external communications, etc.).
• Well-organized and highly efficient, with strong verbal and written communications skills and the ability to interact effectively with company management and regulator contacts.

Preferred Qualifications:

• Professional, energetic team-player with a positive attitude and outlook.
• Flexible and willing to respond to unanticipated issues and reprioritize based on business demands.
• Self-motivated with demonstrated time management skills.
• Adaptive and able to think on your feet and think creatively.
• Interpersonal skills and ability to establish and maintain effective working relationships.

Skills

• Accuracy and Attention to Detail
• Effective Communication
• Managing Multiple Priorities
• Communicating Complex Concepts

About Equitable

We’re a team committed to helping our clients secure their financial well-being so they can pursue long and fulfilling lives. We encourage every employee to leverage their unique talents to become a force for good in their communities. Equitable is committed to equal employment opportunities and participates in the E-Verify program. If reasonable accommodation is needed to participate in the application or interview process, or to perform job functions, please contact Human Resources.

Location: UNITED STATES-NC-Charlotte

Organization: Equitable

Schedule: Full-time