Compliance Consultant – Advertising Compliance Job at Sammons Financial Group (West Des Moines)

Job Description

We are seeking candidates with experience in advertising review and/or advertising filing, ensuring compliance with applicable regulatory requirements. We are seeking a detail-oriented professional to support our Advertising Review and Advertising Filing functions, ensuring that all fixed life insurance and annuity marketing materials and communications meet regulatory standards and internal policies. In this role, you will review, track, and approve advertising content across multiple channels, working closely with marketing, legal, and business teams to ensure timely and accurate marketing. You may also prepare, submit, and respond to state advertising filings. The ideal candidate brings strong analytical skills, a keen eye for detail, and a solid understanding of compliance frameworks within a regulated environment. This is an opportunity to play a critical role in protecting the organization’s reputation while enabling effective and compliant communication.

Job Responsibility

Receive, review, and research applicable state and federal regulations to ensure all regulatory requirements are incorporated into company policies and practices for both Life and Annuity
Partner with and provide subject matter expertise to Sr. Compliance Consultants, Team Advisor or Manager with the receipt, review, research, investigation of and response/preparation to regulatory agencies and client initiated complaints of small to medium scope as assigned by manager
Assist compliance senior management in all aspects of the compliance function related to developing and implementing policies, procedures and controls
conducting reviews of compliance processes and operations
ensuring implementation of any required corrective actions
managing projects
developing and implementing systems to automate processes and procedures to enhance efficiencies
Develop and maintain good relationships with both internal and external customers by handling tasks in a timely and professional manner
Research and address/resolve Red Flag issues
Communicate and train appropriate employees regarding new laws and regulations for both Life and Annuity
Document, Update and Monitor Legislative Briefing Database
Serve as subject matter expert for field compliance manual and/or advertising guidelines
Ensure all compliance-related procedures are appropriately documented and categorized in a compliance manual format
Accountable for maintenance of files as well as participating in the in the review, collection of data, data testing and response to Market Conduct Exams and 38(a)-1
Use SLS concepts and/or other practices to assist manager with incorporating the shared values and division vision and mission statement into the department
If your focus within the department is exam related: Assist in the review, collection of data, data testing and response to Market Conduct Exams and 38(a)-1 assessments
If your focus within the department is consumer affairs related: Communicate verbally with clients and agents in relation to a written complaint or other inquiry
Draft clear and concise written responses to complaints or other inquiries
If your focus within the department is advertising review related: Log and track all review status and actions in Advertising Compliance Database
In conjunction with corporate guidelines, personal product knowledge and professional judgment, review submitted ads and marketing pieces for compliance purposes and respond within established corporate timeframes to approve or suggest changes and negotiate revisions for compliance and ultimately approve the final version after any recommended changes have been implemented
Collaborate with and provide subject matter expertise to other areas including Product Development, Actuarial, Marketing Communications, Marketing Strategy Team and Finance to verify specific aspects of ad
Responsible for the preparation and submittal of advertising forms to the appropriate states’ Departments of Insurance, as required
Commitment to embrace Sammons Financial Group Companies shared values
Participate in other initiatives and/or projects as necessary

Requirements

Bachelor's Degree business or related field preferred or equivalent business experience
3-4 years' relevant compliance, internal audit or other equivalent experience
Working knowledge of life and annuity products, with specific knowledge of insurance company operations
Ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials
Excellent interpersonal and customer service skills
Strong analytical solving skills, including the ability to accumulate, organize, and assimilate large amounts of information
Excellent attention to detail and accuracy
including proofreading skills
Ability to manage multiple tasks simultaneously and manage competing priorities
Ability to work independently and be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions
Organizational skills
Demonstrate professionalism and an aptitude for problem resolution
Advanced computer skills, including Microsoft Word and Excel and Adobe Acrobat
Excellent written and verbal communication skills
Excellent interpersonal and customer service skills
Minimal overnight travel
anticipate up to 5%
Criminal background check required

What we offer

Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance
Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success
Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k)
Work–life balance that means something
Friday afternoons off year-round, generous paid time off, and paid holidays
Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs
Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you
An ownership culture that inspires
join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success

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Compliance Consultant – Advertising Compliance

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