AVP, Compliance

Birmingham, AL /
Legal – Compliance /
Full Time
We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most.

Whether it’s in accounting, claims, IT, investments, legal, marketing, sales, or another department, come be part of a company where you can accomplish your goals while contributing to our social mission of becoming America’s most protective insurance company. 

The position of Assistant Vice President (AVP) of Advertising Compliance oversees and manages a well - established compliance advertising team that provides support to the Life and Annuity Division, Investments team, and Corporate Marketing group.  This position will create review processes, provide strategic advice to the business (including sales strategies) and serve as subject matter expert, as needed.  Responsible for monitoring regulations pertaining to advertising and for ensuring that all advertising/marketing materials comply with applicable federal and state laws and regulations; and meet guidelines for producer and consumer approval. Supports product, sales and brand initiatives to creatively and effectively promote the business in a manner that comports with regulatory, industry and company rules. Develops team strategies by contributing information, analysis, and recommendations. Promotes strategic thinking and direction to establish functional goals and organizational objectives. Provides support for wholesaler strategies and other specialty concepts.

Key contact for Marketing, Sales, Product Development, Investments, Affiliated Companies and various other departments concerning all issues related to advertising/marketing and sales materials. Primary contact for federal and state regulators concerning all advertising/marketing materials; accountable for providing final approvals and guidance for regulatory inquiries/audits, related to these materials.

Primary registered principal for Investment Distributors, Inc., providing review/approval for impacted advertising materials.

Primary Job Functions:

    • Supervise compliance review for all life/annuity advertising submissions for traditional, web-based, and social media formats
    • Manage the department’s advertising compliance processes to improve efficiency and facilitate timely reviews
    • Develop and distribute compliance communications
    • Determine standards for reviews based on legal, regulatory, industry best practices, and corporate culture
    • Monitor all new federal and state advertising regulations, effectively communicate these as appropriate to the business and be responsible for compliance with the same
    • Advocate a collaborative approach with internal customers regarding development/submission/review process
    • Participate in product and project leadership meetings relative to the advertising/marketing materials being developed
    • Cultivate effective working relationships with department colleagues and business leaders
    • Serve as registered principal for review/approval of all variable product advertising/marketing materials
    • Responsible for ensuring that FINRA filings are properly completed and retained
    • Maintain advertising files and oversee preparation of advertising files for state insurance department market conduct examinations
    • Serve as primary contact for discussion of any recommendations by examiners, as related to advertising
    • Maintain advertising compliance manual, guidelines and training, for compliance and marketing groups
    • Monitor/report on industry developments affecting marketing, sales material, and public communications
    • Provide risk and compliance guidance regarding advertising materials, new campaigns and launch strategies
    • Responsible for all regulatory advertising filings including but not limited to FINRA, State Product and Annual Certification filings. 
    • Provides proactive support and guidance for preparation of wholesaler sales strategies, advanced sales and other specialty concepts.
    • Responsible for providing compliance support for branding and website initiatives such as Co-branded sites.

Work Experience, Education, Certification/Training Required:

    • Minimum BA/BS degree required, with JD preferred
    • Minimum of five years of experience in the insurance/financial services industry
    • Experience with review/approval of insurance product advertising/marketing materials
    • Experience with managing and developing employees required
    • Extensive knowledge of regulatory compliance matters with fixed/variable insurance products
    • Extensive knowledge of FINRA, SEC and State rules and regulations
    • Must have FINRA Series 6, 63, and 26 licenses (or ability to obtain within 6 months of hire)

Knowledge, Skills and Abilities Required:

    • Ability to navigate within a fast paced and frequently evolving environment
    • Self-motivated, accountable and dependable work ethic with attention to detail
    • Strong administrative, organizational and interpersonal skills
    • Demonstrated aptitude for customer service and relationship building
    • Ability to assess risk and act independently with competent decision-making and judgment
    • Works well under pressure, in both independent and team environments
    • Ability to concurrently manage multiple priorities and staff members
    • Ability to be a thought leader, while influencing direction and outcomes
    • Proficiency in Excel, Word, PowerPoint, and SharePoint
At Protective, we are committed to providing an inclusive culture where all employees fully contribute and thrive. We have always been a values-driven culture. Doing the right thing and serving people are part of our DNA, and we believe that valuing and embracing different backgrounds and perspectives is what makes us unique.

We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing the talents of a diverse and inclusive workforce.