• Review retail communication against applicable laws and regulations. • Interpret impact of laws on new and existing retail communication. • Communicate changes and important issues to affected business unit, field, and customers. • Effectively track retail communication using applicable methods and tools per industry/company record retention requirements. • Assists in researching, drafting, and /or reviewing insurance/securities products and/or advertising materials • Correspond with applicable regulatory bodies for clarification of advertising regulations as needed. • Assist in researching and responding to comments and/or inquiries received from state insurance departments or FINRA • Assists in researching and responding to customer and/or producer inquiries about compliance issues. • Manages subject matter expert review process to ensure materials are reviewed by all applicable individuals/units. • Strives for consistency of the reviews on an ongoing basis to ensure reviews are performed consistently across the organization. • Assist in maintaining internal compliance materials such as manuals, reference material, reports and website. • Other duties as assigned.