Compliance Consultant, Advertising Review

Lincoln Financial Group; Greensboro (NC); On-site; USD 69,000 - 125,000; Full time

Job summary

Lincoln Financial Group is seeking a Compliance Consultant in Greensboro, NC, to oversee compliance reviews and ensure adherence to regulatory guidelines. The role requires strong communication and analytical skills, along with a Bachelor's degree and relevant certifications. Join a team dedicated to empowering customers and fostering a collaborative work environment.

Benefits

PTO / parental leave

Free financial counseling and health coaching

Tuition assistance program

Leadership development and virtual training opportunities

Qualifications

• 3+ years’ experience with marketing reviews and advertising material preferred.
• Ability to read, analyze, and interpret internal and external documents.
• Familiarity with marketing content management systems.

Responsibilities

• Provide timely principal reviews of advertising and marketing materials.
• Direct and enhance organizational initiatives and process improvements.
• Collaborate with marketing, sales, and product groups for guidance.

Skills

Strong written and verbal communication skills

Strong presentation skills

Time management and prioritization skills

Ability to analyze complex information

Demonstrated strong relationship management skills

Education

4 Year / Bachelor's degree or equivalent work experience

Series 7 / 24 certification

Tools

RegEd Adtrax review software

Hearsay Social Media Supervision software

Job description

• Provide timely principal reviews of advertising, marketing materials and communications, and social media.
• Act as subject matter expert regarding firm and regulatory guidelines including FINRA and SEC, and knowledgeable in NAIC and various individual states.
• Direct and enhance organizational initiatives, process improvements and innovative efficiencies by positively influencing and supporting change management and / or departmental / enterprise initiatives within assigned area(s) of responsibility.
• Complete timely filing of materials with FINRA as needed.
• Collaborate with marketing, sales and product groups to provide guidance as materials are being developed for major initiatives and product launches.
• Provide training opportunities to help foster knowledge sharing regarding compliance topics.
• Add value by getting ahead of potential issues. Write guidelines and update written supervisory procedures as needed.
• Establish and maintain relationships within the firm, and FINRA regulator.
• Identify complex risks and develop / recommend remediation plans.
• Provide effective and open communication with internal / external stakeholders to ensure transparency and consistency of compliance actions.
• Prepare and communicate complex compliance alerts and / or communications concerning new or updated compliance policies or industry rules and regulations.
• Understand balancing the needs of business with the regulations that govern that business.

What we’re looking for

What we’re looking for :

Must-Haves :

• 4 Year / Bachelor's degree or equivalent work experience.
• 3+ years’ experience with marketing reviews and advertising material preferred.
• Series 7 / 24 required.
• Ability to read, analyze, and interpret both internal and external documents such as general media / publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures.
• Strong written and verbal communication skills.
• Strong presentation skills with demonstrated ability to influence at all levels of management through clear, informed and logical discussions / presentations.
• Ability to analyze complex information, evaluate the implications of a course of action, ability to deal with a variety of variables to provide solutions.
• Demonstrated strong relationship management skills with internal clients and external clients at all levels in a collaborative style.
• Time management and prioritizations skills.
• Ability to utilize technology to assist in achieving an efficient marketing material review process.

Nice-to-haves :

• Familiarity with RegEd Adtrax review software
• Experience with Hearsay Social Media Supervision software
• Experience with marketing content management systems

Application Deadline

Applications for this role will be accepted through May 30th, 2025 subject to earlier closure due to applicant volume.

What’s it like to work here? At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future. What’s in it for you :

Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values andleadership attributes

Leadership development and virtual training opportunities

PTO / parental leave

Free financial counseling, health coaching and employee assistance program

Tuition assistance program

Work arrangements that work for you

Effective productivity / technology tools and training

The pay range for this position is$69,000 - $124,600with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln’s total rewards package for employees. In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln’s standard benefits package.

Create a job alert for this search

Compliance Consultant • Greensboro, NC (North Carolina)