Sr Advertising Compliance Specialist

Location NC, United States
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available

AXA's Advertising Compliance Specialist is responsible for reviewing and providing guidance on, revisions for, and principal approval (or disapproval when applicable) of generally corporate marketing collateral, based upon FINRA, SEC and State Securities and Insurance laws, rules and regulations.  Specific responsibilities will include:
1. Conducting reviews of a wide variety of traditional and digital retail field-generated and corporate-created advertisements and sales/training material, with emphasis on securities and packaged products (e.g.variable annuity, variable life and mutual funds) in general, to provide constructive feedback and to ensure compliance with securities and insurance industry laws, rules and regulations and company policies and standards;
2. Providing support and guidance to the Corporate Marketing, retail field associates and other internal departments related to regulatory, industry and company requirements and standards;
3. Filing of material with FINRA Advertising Regulation as well as various state insurance departments when required



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.

Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.
In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.

We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.
As an employer AXA is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. AXA US has been recognized and certified as a great place to work by the Great Place to Work Institute.
We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave AXA.  Almost 40% of our open jobs are filled with current employees.


NOTE: AXA participates in the E-Verify program.
In addition to competitive compensation and an outstanding benefits package including 401 (k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.
AXA 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.