Advertising Compliance Analyst

AIG Financial Advisors, Inc. (AIGFA) is one of the nation's largest broker-dealers with $33.9 billion in total account assets, 2,275 affiliated independent financial advisors and more than 500 OSJ managers. Headquartered in Phoenix, AIGFA supports fee-based financial advisors with one of the most robust technology platforms and largest advisory services teams in the industry. AIGFA's dedicated business development team addresses the unique market needs of affiliated financial advisors by providing customized business solutions that achieve long-term growth objectives. AIGFA is a registered broker-dealer and SEC registered investment adviser, member NASD and SIPC, and member company of American International Group, Inc.

 

The AIG Advisor Group network seeks a Compliance Analyst to review broker-dealer advertising, sales literature, and vendor marketing material.


The person will work within the Compliance Office's Advertising Compliance Department.  The basic functions of this role include reviewing, editing, and approving both representative-generated and corporate-generated advertisements and sales literature to ensure compliance with NASD & SEC rules, state insurance regulations and firm compliance policies. The analyst must be able to diplomatically communicate the content concern, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language.  The analyst will use a consultant approach to educate the representatives.

 

The analyst will complete required NASD filings of appropriate sales literature and advertising.  The analyst must be able to communicate complex information in an easily understood format in order to educate the field and home office personnel.  The team will provide support to other home office employees as needed. Maintain current knowledge of regulatory and industry standards, initiatives, and priorities affecting marketing materials. This is a fast paced environment and requires an ability to work well under deadlines.

Other responsibilities will include, but will not be limited to:

Maintenance of all advertising and sales literature files to fulfill the broker-dealer's record keeping requirements.
Advising business groups about applicable law, regulations and policies relating to the marketing and advertising practices compliance.
Drafting standardized and specialized product and service disclaimers.
Coordinating with regional counterparts to ensure that region specific compliance mandates are being complied with.

Assisting in various regulatory exams as well as internal exams.

Desired Background:

We are seeking candidates with strong reading and comprehension skills and a soft touch. The ideal candidate will also have strong writing skills.  Candidates must be extremely customer service oriented and be willing to go above and beyond to service the needs of our representatives.  Candidates must be able to communicate effectively and tactfully with numerous individuals and departments as required.  Candidates must be able to work independently with limited supervision. Series 7 required and Series 24 must be obtained within 90 days from the date of hire.  . 1+ year in advertising compliance is preferred.  In-depth knowledge of variable products, broker-dealer products, and financial planning. Environment is fast paced – deadline sensitive. Job will require effective exercise of judgment under time constraints. Excellent interpersonal skills required.