Job Title: Advance Markets Lead
Location: Remote with EST Hours
Reports To: Chief Compliance Officer (CCO)
Department: Retirement Team
Company Overview
Our client is a rapidly growing life insurance and annuities company that prides itself on innovation, customer care, and staying ahead of industry trends. They are looking to add an experienced and dynamic Advance Markets Lead to the team to support compliance, marketing, and product knowledge efforts across their retirement products. If you are passionate about the intersection of life insurance, compliance, and the retirement planning industry, we want to hear from you!
Position Overview
The Advance Markets Lead will play a crucial role in providing compliance support to the Chief Compliance Officer (CCO) and the Retirement team. This position is responsible for reviewing marketing materials, supporting registered product knowledge, and ensuring compliance with both regulatory standards and company policies. The ideal candidate will have a strong background in life insurance, broker-dealer operations, or estate planning, and will be equipped with both a Juris Doctor (JD) and Series 7 license. This individual will also assist in addressing complex compliance and regulatory questions, ensuring the company remains aligned with the needs of its rapidly expanding business.
Key Responsibilities
- Compliance Support: Collaborate with the CCO and the Retirement team to ensure all compliance policies, procedures, and regulations are met for retirement products, including life insurance and annuities.
- Marketing Review: Review marketing materials for compliance with applicable regulatory requirements, ensuring the company's communications are clear, accurate, and in line with industry guidelines.
- Registered Product Knowledge: Provide expert knowledge of registered products, including life insurance and annuities, ensuring all product offerings meet compliance standards and are correctly positioned in the market.
- Cross-Functional Collaboration: Work closely with legal, compliance, and marketing teams to assess and advise on new products, marketing campaigns, and operational challenges.
- Regulatory Updates: Stay up to date on industry regulations, ensuring compliance requirements are understood and followed across teams, with a focus on SEC, FINRA, and state insurance regulations.
- Training and Education: Assist in training the retirement team and other relevant departments on compliance issues and registered product features, ensuring employees have a solid understanding of the applicable rules and guidelines.
Qualifications
- Education: Juris Doctor (JD) required; additional qualifications such as CFP, CLU, or ChFC are a plus.
- Licenses: Series 7 FINRA license required.
- Experience:
- 5+ years of experience in life insurance, broker-dealer, estate planning, or retirement planning.
- In-depth knowledge of compliance regulations within the life insurance and annuity industries.
- Experience working with both compliance and marketing teams in a rapidly growing financial services environment.
- Skills:
- Strong written and verbal communication skills, with the ability to effectively communicate complex regulatory and product knowledge to internal teams.
- Ability to analyze, interpret, and communicate complex compliance issues and their impact on business operations.
- Strong organizational skills and attention to detail, with the ability to manage multiple tasks simultaneously in a fast-paced environment.
- Collaborative mindset with the ability to work across departments to achieve compliance and operational goals.
