Sr. Advertising Compliance Specialist - Fixed and Variable Life Insurance Products

Sr. Advertising Compliance Specialist - Fixed and Variable Life Insurance Products
NC, Charlotte
Job ID : 44204
Job ID : 44204

Company Description

AXA is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of the nation’s premier providers of life insurance and annuity products. The organization was established in 1859 and we are committed now more than ever to helping clients meet financial goals in all stages of their lives. One of the hallmarks of our proud heritage is providing world-class customer service.

We're always looking for smart and talented people to help us develop new and innovative ways to expand our product portfolio, reach new customers and serve well the clients already a part of the AXA family.

Job Purpose

AXA Charlotte, NC Office Address: 8501 IBM Drive; Charlotte, NC

The role is responsible for reviewing and providing guidance on, revisions to, and principal approval (or disapproval when applicable) of largely corporate created marketing collateral, based upon FINRA, SEC and state securities and insurance department laws, rules and regulations.  Specific responsibilities will include:

1. Conducting reviews of corporate created advertisements and sales material, with an emphasis on fixed and variable life insurance products (i.e., retail communications), as well as related internal training content, both traditional and digital, to provide constructive feedback and to ensure compliance with securities and insurance industry laws, rules and regulations, as well as company policies and standards.
2. Providing support and guidance to the Corporate Marketing and other departments within the company 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, with an insurance company affiliated broker/dealer, working with both corporate product and marketing areas, as well as retail sales force associates or a minimum 3 plus years experience in a broker/dealer compliance role. The candidate ideal 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 life insurance, annuity products (fixed and variable) and mutual funds as they apply to all forms of traditional advertising, sales literature, and internal training material, as well as to social media and 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 Series 26 (or willingness to obtain the 24or 26 within 90 days).

• Support areas of the company as needed (e.g., corporate marketing, brand marketing, digital marketing, external communications, retail sales force, 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 affecting marketing, sales materials and public communications and advises 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 independently and well under pressure are requirements. A strong working knowledge of Microsoft Word, Adobe Acrobat Excel, and FINRA's Advertising Regulation Electronic Filing System.    
BA/BS degree or equivalent required.  

AXA is willing to look at candidates willing to relocate to Charlotte, NC.


Other information

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.


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