Director - Advertising Compliance - AXA - New York

Job description

As an integral part of the Advertising Compliance team leadership, this person’s primary responsibility will be to focus on helping our product marketing departments to creatively and effectively promote AXA Equitable variable annuities, life insurance products and sub-advised underlying portfolios in a manner that comports with FINRA, SEC, insurance department, industry and company rules and expectations surrounding fair, balanced, and accurate communications with the public.

Responsibilities include:
· Managing workflow, projects and client relationships supported by the Advertising Compliance Group. Providing oversight of the operational functions of the Advertising Compliance Group, including, but not limited to marketing department training, file auditing and review of system reports.
· Reviewing, revising, when necessary, and approving all advertisements, sales literature and related marketing materials (including print, audio, video, and internet) in accordance w/ company policies, FINRA, SEC and State Insurance Department rules & regulations prior to distribution or use.
· Participating in product development meetings to become knowledgeable about new products and to advise marketing on the development of marketing materials.
· Keeping abreast of industry developments affecting marketing materials, and communicating to and advising clients of changes in applicable rules & regulations and their effect on marketing materials.
· Creating and maintaining effective working relationships with regulatory agency personnel, other insurance company broker/dealers and other compliance, legal, and marketing personnel within the company.

Desired Skills and Experience
BA/BS degree. Must have FINRA Series 7 and a willingness to obtain the Series 24 within 90 days. At least 8+ years of experience in reviewing advertising and sales materials with related work experience in the securities industry. Management experience preferred. Proven knowledge of the securities/insurance industry’s regulatory framework as it applies to communications with the public specifically and to variable contract products in general. 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 required and ability to work well under pressure.

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