Senior Compliance Analyst - Ad Review job Houston Texas
Senior Compliance Analyst - Ad Review job Houston Texas
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Senior Compliance Analyst - Ad Review Job

Employer Name: SpiderID: 8716301
Location: Houston, Texas Date Posted: 6/6/2019
Wage: Negotiable Category: Finance/Investment
Job Code: JR1904194

Job Description:

As a member of our dynamic AIG Life & Retirement Compliance team, your main focus will be reviewing the advertising, marketing, and training materials, as well as the social media content for AIG-member insurance companies, broker-dealers and registered investment advisers for compliance with state/federal laws, rules and regulations. As a registered principal, you will be responsible for approving retail communications in accordance with FINRA rules.

Performance Objectives:

  • Manage and prioritize a high volume of daily work including the review of advertising and training materials to ensure compliance with laws and regulations across multiple product lines

  • Review social media content at a corporate and advisor level for advertising compliance consideration while factoring potential supervisory concerns and routing through proper escalation for resolution. Work with Supervisory Principals on remediation of escalated advertising compliance issues

  • Collaborate, develop and nurture professional relationships with team members and high profile internal clients

  • Provide timely, creative, clear, and thoughtful guidance to other departments and team members on advertising compliance matters for existing products and new product launches

  • Stay abreast of changing regulations that impact our business by conducting research with respect to state/federal rules and regulations pertaining to insurance advertising, correspondence and sales literature

  • Communicate with regulators on advertising submissions

  • Establish, document, and amend compliance-related policies and procedures

  • Undertake special projects as assigned

In addition to the above, the ideal candidate should have:

  • FINRA Series 7 and 24 required; FINRA Series 65 or 66 preferred

  • Bachelor's Degree strongly preferred

  • Three years Advertising Compliance experience preferred

  • Five or more years' experience with industry laws and regulations related to qualified plans, life insurance, annuities, mutual funds, as well as advisory products and services

  • Strong interpersonal, written and verbal communication skills

  • An understanding of complex rules and regulations and ability to communicate them to all levels of staff within all companies/departments

  • Scrupulous attention to detail and accuracy

  • Ability to organize, plan, follow up and complete tasks within specified time frames

  • Ability to manage multiple tasks simultaneously, maintain focus, and prioritize to provide exceptional service levels in a dynamic environment

  • Ability to master multiple Ad Review systems, manage automated work-flows, design and produce reports

  • Excellent product/service knowledge including fixed, variable and index annuities; mutual funds; term, variable, and index life insurance; and investment advisory services

  • Knowledge of social media platforms

About AIG

American International Group, Inc. (AIG) is a leading global insurance organization. Founded in 1919, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement products, and other financial services to customers in more than 80 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets, manage risks and provide for retirement security. AIG common stock is listed on the New York Stock Exchange and the Tokyo Stock Exchange.

Join our Talent Network at Additional information about AIG can be found at and http:// | YouTube: | Twitter: @AIGinsurance | LinkedIn: These references with additional information about AIG have been provided as a convenience, and the information contained on such websites is not incorporated by reference into this press release.

Job Criteria:
Start Date:
Position Type: Full-Time Permanent
Years of Experience Required:
Education Required:
Overnight Travel:
Vacation Time:

Contact Information:
Contact Name: AIG Company Type:
Company: AIG

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