Compliance Advisor/Associate Director

3 weeks ago

Montpelier, United States National Life Group Full time
Summary

Come join one of America's fastest growing insurance companies We are looking for an experience and talented Compliance professional who can partner with our business colleagues to address regulatory concerns and solution to business needs. The position, in consultation with home office and field associates, will review life, annuity, securities, and investment advisory advertising in a timely fashion ensuring compliance with advertising regulations, and to provide regulatory support to both our field offices and various home office business units. The role requires providing input and direction to assist business partners on how to address advertising regulations, as they relate to marketing our products and advancing the company's brand. The Company's primary products include fixed life insurance, including indexed universal life insurance, along with living benefits, and annuity products.

Key Responsibilities

  • Conduct advertising review of various field office and producer generated materials, including newsletters, presentations and related seminar materials, form letters, mass emails, software programs, and sales systems.
  • Support and review online, web-based, and social media submissions such as profiles, posts, interactive activities, messages, and other content to ensure adherence to applicable regulations and alignment with company policies and procedures, including the following platforms: LinkedIn, Facebook Business, Twitter, Instagram, YouTube, and additional platforms as needed.
  • Provide timely compliance reviews and revisions for home office generated advertising materials and marketing initiatives, including:
    • New product launches
    • Consumer brochures, flyers, social and web marketing, and email marketing
    • Agent training presentations, guidebooks, and webinars
  • Work closely with business units to develop compliant marketing programs and materials, including social media and digital initiatives, and solution to other business needs.
  • File life insurance advertising materials with states and securities advertising with FINRA.
  • Assist with the implementation of new and/or revised procedures to ensure compliance with applicable regulations.
  • Participate in preparing and delivering advertising review training to producers, office managers, general agents, regional VPs and home office associates as needed, including training on social media and digital.
  • Actively monitor agent use of advertising, including website and social media content.
  • Address compliance issues identified through monitoring reviews, complaints, and investigations.
  • Manage vendor relationships for compliance systems.
  • Assist with updating procedures and associated documentation.
  • Participate in compliance forums with industry peers.
  • Perform other duties, as assigned.
Key Experience and Skills
  • Bachelor's degree or an equivalent combination of education and experience required.
  • Extensive Fixed Life Insurance & Annuity industry experience, with 5+ years reviewing life and annuity advertising materials required.
  • FINRA Series 7 and 24 registrations required.
  • Experience reviewing securities and financial planning advertising materials a plus.
  • Experience in handling regulatory matters in a Compliance setting required.
  • LOMA certifications preferred, specifically the AIRC designation.
  • Effectively work in a team environment, with strong collaboration and customer service focus.
  • Ability to research, interpret, and communicate complex regulatory subject matters, knowing when to seek guidance from more experienced team members.
  • Excellent written communication skills with a demonstrated ability to recommend creative solutions to meet regulatory and business needs.
  • Demonstrated tact and professionalism and the ability to interact with leaders at all levels of the Company and the Field on sensitive matters.
  • Ability to work in a fast-paced environment, with a high degree of accuracy.


The base compensation range represents the low and high end of the range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to qualifications, skills, competencies, location, and experience. The range listed is just one component of our total compensation package for employees.

Other rewards may include an annual bonus, quarterly bonuses, commissions, and other long-term incentive compensation, depending on the position. National Life offers a competitive total rewards package which includes: a 401(k) retirement plan match; medical, dental, and vision insurance; a company funded wellness account for director and below employees; 10 paid holidays; a generous paid time off plan (22 days of combined time-off for non-exempt employees and exempt employees have discretion in managing their time, including scheduling time off in the normal course of business, but in no event will exempt employees receive less sick time than required by state or local law); 6 weeks of paid parental leave; and 6 weeks of paid family leave after a year of full-time employment.

National Life is accepting applications for this role on an ongoing basis and the role remains open until filled.

National Life Group® is a trade name of National Life Insurance Company, Montpelier, VT - founded in 1848, Life Insurance Company of the Southwest, Addison, TX - chartered in 1955, and their affiliates. Each company of National Life Group is solely responsible for its own financial condition and contractual obligations. Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. All other entities are independent of the companies of National Life Group.

Fortune 1000 status is based on the consolidated financial results of all National Life Group companies.

National Life Group

1 National Life Dr

Montpelier, VT 05604

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