Senior Associate, Compliance - Sales Marketing Review Unit

Compensation

: $110,133.33 - $178,020.00 /year *

Employment Type

: Full-Time

Industry

: Advertising/Marketing/Public Relations



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Senior Associate, Compliance - Sales Marketing Review Unit



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Date: Nov 20, 2019
Location: New York, NY, US
Company: New York Life Insurance Co

A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It's a career journey you can be proud of, and you'll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. Recognized as one of Fortune's World's Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses Be Good At Life. To learn more, please visit LinkedIn, our Newsroom and the Careers page of *******************.

Job Description and Responsibilities:
Conduct complete and timely compliance reviews of marketing materials (advertising and sales literature) for the salesforce and corporate partners in order to ensure compliance with applicable FINRA (specifically rule 2210)/SEC Rules, NAIC Advertising Guidelines, as well as Company policies and procedures.
Respond to all inquiries regarding advertising concerns.
Provide guidance to authors of advertising and sales material about applicable policies and procedures and the regulatory environment
Educate and update clients on specific changes within the industry affecting advertising material and approval process.
Work and excel in a team environment and collaborate with business areas to reach a mutually agreeable outcome.
Qualifications:
Must have a Bachelors Degree.
Must have Series 6 and 26 OR Series 7 and 24 FINRA licenses.
4+ years of experience in compliance advertising review.
Knowledge of the following:
Life insurance and annuity products or general insurance products
Federal and state insurance laws and regulations
Securities laws and regulations (including FINRA rules applicable to communications specifically with the public, as these relate to the compliance standards for securities and insurance products in marketing and sales materials including social media).
Ability to process all material assigned for review and approval in a timely manner.
Must possess excellent written and verbal communications skills.
Must be highly organized in order to process a high volume of documents on a daily basis.
Must be able to work effectively under pressure and tight deadlines.
Must have excellent computer skills, proficient in PowerPoint, Adobe, and Snagit.
Must have good judgment, be a self-starter and proactive.
Must be objective and professional.
Must exhibit excellent customer service & always respond promptly and in a professional manner.
EOE M/F/D/V

If you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: **************.

Job Segment: Social Media, Outside Sales, Advertising, Marketing, Sales



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Associated topics: aflac, insured, insurer, insurance agent, insurance field, insurance sales, insurance sales agent, life, life insurance, medicare * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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