Compliance Consultant, Advertising Review

Compliance Consultant, Advertising Review

We are excited to bring on a Consultant, Advertising Compliance to support our Lincoln Financial Distributors (wholesale) business unit in reviewing and approving advertising, marketing materials and communications with a focus on Annuities, in addition to Lincoln's Life Insurance products, Retirement Plan Services, Group Protection and Investments. As a primary contributor to this group, you will work closely with our sales and marketing teams and other departments to review and help develop effective and compliant communications, sales and educational materials for internal, financial professional and public audiences.

Comprehensive knowledge of state, FINRA / SEC regulations is required as well as diplomatic and public speaking skills. The ideal candidate will have experience researching and interpreting new rules and regulations, and a solid knowledge of financial services products.

What you'll be doing :

Providing timely principal reviews of advertising, marketing materials and communications, and social media.

Acting as subject matter expert regarding firm and regulatory guidelines including FINRA, SEC, NAIC and various individual states.

Directing and enhancing organizational initiatives, process improvements and innovative efficiencies by positively influencing and supporting change management and / or departmental / enterprise initiatives.

Completing timely filing of materials with FINRA and state agencies as needed.

Collaborating with marketing, sales and product groups to provide guidance as materials are being developed for major initiatives and product launches.

Providing training opportunities to help foster knowledge sharing regarding compliance topics.

Adding value by getting ahead of potential issues. Writing guidelines and update written supervisory procedures as needed.

Establishing and maintaining relationships within the firm, and FINRA regulator.

Identifying complex risks and developing / recommending remediation plans.

Providing effective and open communication with internal / external stakeholders to ensure transparency and consistency of compliance actions.

Preparing and communicating complex compliance alerts and / or communications concerning new or updated compliance policies or industry rules and regulations.

Understanding balancing the needs of business with the regulations that govern that business.

What we're looking for :

4 Year / Bachelor's degree or equivalent work experience.

Series 6 / 26 or Series 7 / 24 required.

3+ years' experience with compliance, marketing reviews and advertising material preferred.

Ability to read, analyze, and interpret both internal and external documents such as general media / publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.

Strong written and verbal communication skills.

Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions / presentations.

Ability to analyze complex information, evaluate the implications of a course of action, ability to deal with a variety of variables to provide solutions.

Demonstrated strong relationship management skills with internal clients and external clients at all levels in a collaborative style.

Time management and prioritizations skills.

Ability to utilize technology to assist in achieving an efficient marketing material review process.

Familiarity with RegEd Adtrax review software.

Experience with Hearsay Social Media Supervision software.

Experience with marketing content management systems.