Director - Market Conduct and Compliance

5 - 7 years experience  •  Insurance

Salary depends on experience
Posted on 09/21/17
Montpelier, VT
5 - 7 years experience
Salary depends on experience
Posted on 09/21/17


The main focus of this position is to review life, annuity, securities and investment advisory advertising in a timely fashion, and provide regulatory support to both our field offices and various home office business units. It requires providing input and creative direction to assist clients on how to address advertising regulations, as they relate to marketing our products and enhancing the company’s image.


Key Responsibilities:


•     Provide timely compliance and advertising reviews for field and office materials, as well as various home office marketing initiatives

•     Responsible for email monitoring, and assisting in the resolution with ESI (Equity Services, Incorporated) Compliance to resolve infractions

•     Responsible for regulatory review of producer newsletters and working with mutual fund and variable annuity fund sponsors, in order to provide our field offices with approved marketing materials

•     File advertising materials with states and FINRA

•     Serve on development teams to provide guidance regarding potential compliance issues

•     Coordinate compliance awareness by producing and disseminating timely compliance

presentations, communications and notices.

•     Assist with review and interpretation of new and/or revised insurance regulations and implementation of procedures to ensure compliance.

•     Conduct advertising review training with producers, office managers, general agents, regional VP’s and home office associates as needed.


Job Requirements


  • 5years industry experience reviewing life, annuity, securities, and financial planning advertising materials.

  • Ideal candidate will possess additional compliance-related experience in handling regulatory matters.

  • In depth knowledge of securities and insurance products.

  • FINRA Series 7 and 24

  • Bachelor's degree in related field.


Additional Requirements


  • Demonstrate tact and professionalism and the ability to interact at all levels of management.

  • Ability to meet established deadlines; must be a self-starter and be able to work independently as well as being a team player.

  • Ability to understand, interpret and communicate complex subject matters.

  • Excellent written and verbal communication skills required.

  • Ability to work in a fast-paced environment, with a high degree of accuracy.

  • Must have a proficiency in Microsoft Office Suite.

  • Strong organizational skills a must.

  • Detail-oriented and self-motivated

  • Must be able to pass a background check.


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