Compliance Consultant – Advertising Compliance

Job Overview

We are seeking candidates with experience in advertising review and/or advertising filing, ensuring compliance with applicable regulatory requirements.

We are seeking a detail‑oriented professional to support our Advertising Review and Advertising Filing functions, ensuring that all fixed life insurance and annuity marketing materials and communications meet regulatory standards and internal policies. In this role, you will review, track, and approve advertising content across multiple channels, working closely with marketing, legal, and business teams to ensure timely and accurate marketing.

You may also prepare, submit, and respond to state advertising filings. The ideal candidate brings strong analytical skills, a keen eye for detail, and a solid understanding of compliance frameworks within a regulated environment. This is an opportunity to play a critical role in protecting the organization’s reputation while enabling effective and compliant communication.

• Receive, review, and research applicable state and federal regulations to ensure all regulatory requirements are incorporated into company policies and practices for both Life and Annuity. Use professional judgement and forward thinking to adapt regulations to fast pace changes in the business units and insurance industry.
• Partner with and provide subject matter expertise to Sr. Compliance Consultants, Team Advisor or Manager with the receipt, review, research, investigation of and response/preparation to regulatory agencies and client initiated complaints of small to medium scope as assigned by manager. Attend compliance related meetings and present information as assigned; perform internal investigations and agent investigations when necessary. Surveying customers may be required within some projects.
• Assist compliance senior management in all aspects of the compliance function related to developing and implementing policies, procedures and controls; conducting reviews of compliance processes and operations; ensuring implementation of any required corrective actions; managing projects; developing and implementing systems to automate processes and procedures to enhance efficiencies.
• Develop and maintain good relationships with both internal and external customers by handling tasks in a timely and professional manner. This includes collaborating and negotiating with state regulators to resolve concerns as well as fostering relationships with state insurance department personnel in order to address decisions rendered by state personnel and, at times, openly and diplomatically address disagreements or concerns.
• Research and address/resolve “Red Flag” issues.
• Communicate and train appropriate employees regarding new laws and regulations for both Life and Annuity.
• Document, Update and Monitor Legislative Briefing Database.
• Serve as subject matter expert for field compliance manual and/or advertising guidelines. Notify manager of necessary changes and help ensure that updates are provided to business partners on a no less than annual basis.
• Ensure all compliance‑related procedures are appropriately documented and categorized in a compliance manual format.
• Accountable for maintenance of files as well as participating in the review, collection of data, data testing and response to Market Conduct Exams and 38(a)-1.
• Use SLS concepts and/or other practices to assist manager with incorporating the shared values and division vision and mission statement into the department.
• If your focus within the department is exam related:
  Assist in the review, collection of data, data testing and response to Market Conduct Exams and 38(a)-1 assessments.
• If your focus within the department is consumer affairs related:
  Communicate verbally with clients and agents in relation to a written complaint or other inquiry. Draft clear and concise written responses to complaints or other inquiries.
• If your focus within the department is advertising review related:
  Log and track all review status and actions in Advertising Compliance Database. In conjunction with corporate guidelines, personal product knowledge and professional judgment, review…