Compliance Associate (Marketing and Sales) Compliance Associate (Marketing and Sales) …

Brighthouse Financial, Inc.
in Charlotte, NC, United States
Self Employed, Full time
Be the first to apply
Brighthouse Financial, Inc.
in Charlotte, NC, United States
Self Employed, Full time
Be the first to apply
Compliance Associate (Marketing and Sales)
Brighthouse Financial is on a mission to help people achieve financial security. As one of the largest providers of annuities and life insurance in the U.S., we specialize in products designed to help people protect what they've earned and ensure it lasts. We are built on a foundation of experience and knowledge, which allows us to keep our promises and provide the value they deserve.

At Brighthouse Financial, we're fostering a culture where diverse backgrounds and experiences are celebrated, and different ideas are heard and respected. We believe that by creating an inclusive workplace, we're better able to attract and retain our talent, provide valuable solutions that meet the needs of our advisors and their clients, and deliver on our mission of helping more people achieve financial security. We're seeking passionate, high-performing team member to join us. Sound like you? Read on.

How This Role Contributes to Brighthouse Financial:
The Compliance Associate will join the Compliance Programs team and will be primarily responsible for the Company's compliance function as it relates to the sales, marketing, and training material review process.

Key Responsibilities:
  • Review Brighthouse life insurance and annuity sales, marketing, and training material, associated disclosures and related communications, to ensure they comply with applicable securities and insurance industry rules and Company policies and procedures
  • Collaborate with associates from Marketing, Legal, and Tax and others to ensure marketing material is fair and balanced and not misleading, taking into consideration the applicable regulatory requirements, past regulatory feedback, advice from Legal and Tax, and the desires of the business sponsor of the material
  • Engage legal subject matter experts and other business partners, as appropriate, when complexities of the material require such expertise for topics including Tax, ERISA, and specialized product features
  • Develop and maintain desktop procedures for the sales material review process. Ensure all material is managed in the Company's sales material workflow system and continue to find ways to make sales material review process more effective and efficient
  • Prepare training materials and train marketing associates and others on the appropriate use of company disclosures and the standards and guidelines contained within advertising rules and regulations to help ensure that marketing associates who prepare material understand the regulatory framework that governs industry marketing material
  • Approve and file marketing material with appropriate regulators
  • Review new laws and regulations related to the preparation and filing of marketing materials to ensure compliance with the same
  • Perform monitoring across business units to determine the effectiveness of established controls designed to mitigate compliance risk in the area of marketing. Use these results to identify control deficiencies and make recommendations for improvement to management
  • Other duties as assigned or required

Essential Business Experience and Technical Skills:
  • 5-8 years of relevant experience in the financial services industry
  • Knowledge of the regulatory requirements related to advertising, marketing, and training material in the insurance and securities industries
  • FINRA Series 6 or 7 and a series 24 or 26
  • A strong working knowledge of insurance and annuity products
  • Strong negotiation skills and ability to be a business partner and creative thinker capable of understanding and finding appropriate solutions to business needs
  • Ability to work independently and as part of a larger team
  • Excellent verbal and written communication skills

Less than 5%

Number of Openings: