Advertising Compliance Reviewer ( 250000DU )
Primary Location : UNITED STATES-NC-Charlotte
Organization : Equitable
Schedule : Full-time
Description
At Equitable, our power is in our people.
We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?
The Equitable Law Department's Mission is to Serve as Equitable's trusted counsel, e mpowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.
At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join the Advertising Compliance team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position will be based in our Charlotte, NC office.
If you are ready for this exciting challenge, don't hesitate to apply today!
Reporting to the Team Lead of our Advertising Compliance team the Advertising Compliance Reviewer's responsibilities will include, but are not limited to:
Reviewing and providing guidance on, revisions for, and principal approval of advertising and sales material largely developed by or on behalf of individual Financial Professionals and, in some cases, marketing collateral created by our internal business lines and corporate marketing teams. All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards for fair and balanced communications.
Conducting reviews of a wide variety of traditional and digital retail field-generated and corporate-created advertisements and sales/training material to offer constructive, flexible, relevant, timely, and @contextual revisions and feedback for the purpose of ensuring compliance with securities and insurance industry regulations and company policies and standards prior to providing final registered principal approval
Providing support and guidance to retail field associates, branch office personnel, and corporate personnel/departments related to regulatory, industry and company requirements and standards
Filing of material with FINRA Advertising Regulation and various state insurance departments when applicable and required
Participating 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
Keeping current on industry developments that affect marketing, sales material and public communications and advise internal clients of changes in applicable rules and regulations and their effect on marketing/sales materials
Creating and maintaining effective working relationships with compliance colleagues, internal legal counsel, branch and regional staff, marketing professionals, product SMEs, and other company personnel
Focus on Top Firm Producers - the primary reviewer of content generated by some of our highest producing and most consistently recognized Equitable Advisors associates
Written Supervisory Procedures - point person for the maintenance and updating of group's set of written supervisory procedures
Compliance Manual - point person for ongoing feedback regarding the timeliness and accuracy of the Communications with the Public chapter of our firm's Compliance Manual.
In office schedule: This team member will work in the office 2-3 days per week.
The base salary range for this position is $95,000-$115,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.
For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.
Equitable Pay and Benefits: Equitable Total Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node_id=A2023013000001)
Qualifications
Required Qualifications:
BA/BS degree
FINRA Series 7 and Series 24 preferred. Would consider candidates with a Series 6 and 26, or candidates with a Series 7 or Series 6 with a requirement to obtain the Series 24 or Series 26 within 90 days of employment.
Demonstrable experience in an advertising/sales material compliance reviewer role, preferably with an insurance company affiliated broker/dealer, working with retail field commission- and fee-based producers, as well as with corporate product, marketing, and business areas.
Established working knowledge of FINRA (Rule 2210), SEC and state securities and insurance department rules and regulations, and a foundational knowledge of variable annuity, variable life and mutual fund products as they are discussed and promoted in traditional advertising, sales literature, internal training material, and electronic/digital communications, and must be able to reasonably, practically, flexibly, and independently interpret and apply these rules in a business environment and in a manner that ensures balance between effective marketing and good compliance.
Ability and willingness to amiably, patiently, and responsively support areas of the company as needed -- retail field associates, corporate marketing, brand marketing, digital marketing, external communications, etc.
Well-organized and highly efficient, possessing influential verbal and written communications skills and the ability to interact and communicate effectively with company management and regulator analysts and contacts.
Preferred Qualifications:
Professional, energetic team-player with a positive attitude and outlook.
Flexible and willing to respond to unanticipated issues and constantly reprioritize based on business demands.
Self-motivated with demonstrated time management skills.
Adaptive to "think on your feet" and think creatively.
Interpersonal skills and ability to establish and maintain effective working relationships with others.
Skills
Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
Effective Communication: Understand effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors. Ability and willingness to have tough conversations that may arise with submitters, while maintaining empathy, positive engagement, and professionalism.
Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.
Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to effectively communicate in clear language.
ABOUT EQUITABLE
At Equitable, we're a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.
We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.
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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: Equitable participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com .
Req ID: 250000DU
