Job Postings

About the job

The Senior Compliance Analyst (Advertising Review) plays a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. This Sr. Compliance Analyst is responsible for ensuring and enabling the adherence to advertising compliance policies by reviewing and approving advertising materials, and collaborating with cross-functional teams to ensure adherence to industry regulations. The Sr. Compliance Analyst (Advertising Review) will leverage their deep understanding of the life and annuity industry and the related financial products and services to effectively maintain compliance within EquiTrust's advertisements. Additionally, this role will be responsible for drafting and modernizing our forms that are used throughout the sales lifecycle.

Essential Duties and Responsibilities:

• Follows, implements, and adheres to advertising compliance policies and procedures in alignment with insurance industry regulations. 
• Analyzes and approves advertising and marketing materials to ensure compliance with industry guidelines and internal policies. 
• Provides guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements. 
• Stays current with changes in financial industry regulations and update compliance policies as needed. 
• Collaborates with internal legal counsel as necessary to address compliance issues and inquiries. 
• Monitors and tracks advertising campaigns, keeping detailed records and documentation of compliance efforts. 
• Conducts periodic audits and reviews to identify and rectify potential compliance violations. 
• Collaborates with other departments to modernize forms and documents
• Supports the Regulatory and Compliance team and/or other departments on an as needed basis. 
• Willingly takes on additional responsibilities as requested in order to accomplish department and Company objectives. 

Training or Work Experience:

• A minimum of 5 years of experience in advertising compliance within a life insurance and/or annuity, or financial services industry required. 
• 7 years of experience in advertising compliance within a financial services industry is preferred. 

Education: 

Bachelor’s Degree required. Bachelor’s Degree in Business Administration, Economics, Finance, or a related field is preferred. 

Working Conditions:

Infrequent travel (less than 5% of the time). 

EquiTrust is an Equal Opportunity Employer and participates in the U.S. Federal E-Verify program. Applicants have rights under federal and state employment laws. To learn more, visit https://www.equitrust.com/careers/opportunities/applicant-notices/.

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At Allianz Life, we are guided by our mission – we secure your future – and by our common goal of caring for tomorrow. We care for our employees by promoting an inclusive culture where everyone has the opportunity to grow and be rewarded for their success. We care for our customers by creating new products that help them protect their families and pursue their retirement goals. We care for our community by giving time, resources, and donations. And we care for the future by supporting sustainability, protecting the local environment, and promoting societal equity.

 What you do:

• With support, you will make decisions about the suitability of a sale based on analysis of information gathered from clients and field distribution. Present and submit more complex suitability cases for further follow-up/analysis. Meets service level standards for assigned workload. You will report to the Operations Manager.
• Review and analyze information gathered from producers, FMOs, and broker dealers to determine the suitability of the sale. Present complex cases that involve further review or follow-up to Sr. Suitability Reviewers; facilitate additional reviews.
• Communicate with producers, FMOs, and broker dealers to obtain/clarify customer information and concerns as it pertains to the sale; including communicating suitability decisions.
• Cultivate and maintain close and productive relationships with field suitability officers and field suitability compliance officers. Promote and promote compliant sales practices through field education and best practice sharing.
• Collaborate with peers to gain and share knowledge of current suitability activity, trends, and process changes.
• Finds areas for service and process improvements, identify and analyze trends for proposed changes to ensure accuracy and ease of business. Apply extensive business knowledge to proactively anticipate customer needs and identify any potential issues, create recommendations and facilitate action for resolution.

What you bring:

• 2 or more years of experience required: proven successful customer service experience within the financial industry focused on customer relationships.
• High school diploma required

What we offer:

At Allianz Life, we’re proud to provide a benefits package that supports the True Balance of our employees and their families. We offer: a choice of comprehensive medical, dental and vision plan options, health savings account, tuition reimbursement, student loan retirement plan, generous annual paid leave, an outstanding 401(k) company match, and life insurance. Plus, our employees enjoy an award-winning campus with an array of discounted amenities, including an onsite health center, child development center, fitness facility, convenience store and two cafeterias. Our employees and leaders take an active role in shaping our culture through our Employee Resource Groups, whose activities and advocacy contribute to an environment that welcomes, includes and celebrates diversity. Our great benefits, campus amenities and inclusive, engaged culture are among the many reasons we’re recognized as a top workplace employer.

53288 | Operations | Professional | Allianz US Life | Full-Time | Permanent

Allianz Group is one of the most trusted insurance and asset management companies in the world. Caring for our employees, their ambitions, dreams and challenges, is what makes us a unique employer. Together we can build an environment where everyone feels empowered and has the confidence to explore, to grow and to shape a better future for our customers and the world around us. We at Allianz believe in a diverse and inclusive workforce and are proud to be an equal opportunity employer. We encourage you to bring your whole self to work, no matter where you are from, what you look like, who you love or what you believe in. We therefore welcome applications regardless of ethnicity or cultural background, age, gender, nationality, religion, disability or sexual orientation.

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