Senior Advertising Compliance Specialist

Transamerica; Colorado; Hybrid; USD 78,000 - 88,000; Full time

Job summary

Transamerica is seeking a seasoned Advertising Compliance Specialist who independently reviews and approves marketing materials to ensure they meet regulatory standards. You will interpret FINRA, SEC, and state insurance rules, and advise partners across sales, marketing, and product teams.

Responsibilities include maintaining records, coordinating filings, and implementing enhanced controls to improve consistency and efficiency.

Qualifications

• Bachelor’s degree in business, legal studies, risk management, compliance or related field.
• 5+ years of regulatory, securities, insurance, marketing, advertising compliance, or related experience.
• 2+ years reviewing advertising requirements and related rules (FINRA/SEC/state insurance).
• FINRA Series 7 and 24; or obtain within 6 months of entry date.
• Strong written and verbal communication skills.
• Analytical, organizational and critical-thinking skills with high accuracy.
• Ability to coordinate multiple reviews, filings, projects and deadlines in a fast-paced environment.
• Proficiency with Microsoft Office and advertising review/document management/workflow tools.

Responsibilities

• Review, analyze, edit and approve advertising, marketing and communications materials for regulatory compliance.
• Research applicable regulatory requirements, guidance and policy changes.
• Provide guidance to business partners, sales, marketing, product teams and other stakeholders.
• Maintain records, approvals, documentation and evidence for advertising reviews.
• Coordinate regulatory filings with FINRA, state insurance departments or regulators as needed.
• Identify and implement new or enhanced practices to improve quality and efficiency.
• Compile information for management and regulatory reporting; analyze trends and opportunities.
• Assist with regulatory examinations, internal reviews and audits; gather information and support remediation.
• Support team with research, training and knowledge-sharing.

Skills

Regulatory compliance

Securities compliance

Advertising compliance

Analytical skills

Communication skills

Attention to detail

Project management

Education

Bachelor’s degree in business, legal studies, risk management, compliance or related field

Tools

Microsoft Office

Document management systems

Workflow systems

Job description

Transamerica is seeking a seasoned Advertising Compliance Specialist who independently reviews and approves marketing materials to ensure they meet regulatory standards. You will interpret FINRA, SEC, and state insurance rules, and advise partners across sales, marketing, and product teams.

Responsibilities include maintaining records, coordinating filings, and implementing enhanced controls to improve consistency and efficiency.