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Sr Advertising Compliance Specialist

LEG Legal and Compliance
Thanks for your interest in the Sr Advertising Compliance Specialist position. Unfortunately this position has been closed but you can search our 868 open jobs by clicking here.

The position requires demonstrable experience in an Advertising/Sales material compliance reviewer role, preferably with an insurance company affiliated broker/dealer, working with corporate product and marketing areas or at a minimum 3 plus years experience in a broker/dealer compliance role. The ideal candidate should have a proven working knowledge of FINRA (Rule 2210), SEC and state securities and insurance department rules and regulations, and / or a proven knowledge of variable annuity, variable life and mutual funds products, as they apply to all forms of traditional advertising, sales literature, and internal training material, as well as to electronic communications, and must be able to reasonably, practically, flexibly and independently interpret and apply these rules in a business environment so as to ensure balance between effective marketing and good compliance.
• Must have FINRA Series 7 and Series 24 or Series 6 and 26 (or willingness to obtain the 24 or 26 within 90 days).
• Support areas of the company as needed (e.g. corporate marketing, brand marketing, digital marketing, external communications, retail field associates, etc.)
• Participate as needed in product-related and general marketing campaign/material development meetings to provide proactive, constructive and team-oriented feedback, advice and guidance from the advertising compliance perspective.
• Keep current on industry developments that affect marketing, sales materials and public communications and advise internal clients of changes in applicable rules & regulations and their effect on marketing/sales materials.
• Create and maintain effective working relationships with compliance colleagues, internal legal counsel, marketing professionals and other company personnel.


We are seeking a team player who is well-organized and highly efficient, possessing excellent verbal and written communications skills and the ability to interact and communicate effectively with management level personnel and regulatory agencies. Excellent interpersonal skills and ability to work well independently and under pressure are requirements. A strong working knowledge of Microsoft Word, Adobe Acrobat, Microsoft Excel, and FINRA's Advertising Regulation Electronic Filing (AREF) System. BA/BS degree or equivalent required. 

AXA is willing to look at candidates willing to relocate to Charlotte, NC.

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