Compliance Officer - Sales and Advertising Review

  • Cleveland, OH
  • Full-time

Company Description

Financial Services Company, Broker-Dealer and Insurance Company

Job Description

SUMMARY

THIS COMPLIANCE OFFICER will review advertising material and sales literature for products and services, concentrating on annuities. Collaborate on the filing process for the materials as required by any Regulator including State Department of Insurance.

Additionally, this individual will partner with Marketing personnel, New Business Development on new marketing, Ad. Campaigns, projects and provide consultation from a Compliance Officer perspective. This Compliance Officer will interact with and handle response to comments from the regulators in regard to the content submitted. These comments and interpretations are then communicated to the business, colleagues and has responsibility for other special projects. The Compliance Officer will be required to provide Compliance support for other lines of distribution as needed.

Qualifications

EQUIRED LICENSES

FINRA Series 7, 24 Registration; may consider a candidate who has the required work experience and skills to obtain the registration within a specified time frame.

OTHER REQUIREMENTS:

Undergraduate Degree. MBA or JD welcome.

Six or more years of compliance work experience in a financial services, legal, regulatory compliance or similar role. Project management experience preferred.

Must have reviewed advertising material and sales literature for products and
services, preferably concentrating on annuities. Experience ideally includes collaboration on the filing process for the materials as required by Financial Industry Regulatory Authority, Inc. (FINRA), as well as other Regulators including a State Department of Insurance (DOI).

NOTE: Competitive salary up to $125,000 may be offered with health and retirement benefits package. Annual Bonus potential.

Additional Information

The position has an office location that is not accurately disclosed with this job posting. The job location is in a neighboring U.S. City. Location to be discussed with every person who applies; full relocation, moving expense reimbursement will be offered with the job offer.​ Similarly all interviews after initial phone call (screen) will be conducted on-site in the office location.

This is a full-time permanent position. In addition to salary,  the position will offer industry leading comprehensive benefits that are available to all Company employees.

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