Advertising Analyst

This is a fully remote position, open to applicants in Arizona, +1 more state.

📋 Description

• Provide subject matter expertise in evaluating sales literature, marketing materials, and communications, while proactively assisting financial professionals in ensuring content complies with regulatory requirements and internal policies.

• Contribute to the establishment and upkeep of controls, systems, procedures, and records as mandated by FINRA, SEC, and state regulators.

• Support the development and revisions of supervisory procedures, training materials, a compliance-approved library of resources, and internal communications.

• Oversee the supervisory review of written and electronic correspondence.

• Manage the supervisory review of outside business activities (OBA).

• Engage in the training and mentorship of Advertising Compliance Analysts.

• Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.

• Assist in training internal teams and field staff on advertising processes, systems, and regulatory compliance.

• Elevate pertinent questions or issues to senior analysts or management as necessary.

• Submit advertising and communications to FINRA as required.

• Conduct regulatory research as needed.

• Exhibit professionalism, accountability, client focus, and teamwork as part of the firm's cultural commitment.

⛳️ Requirements

• Bachelor’s Degree preferred.

• Minimum of 5 years of industry experience.

• Consistent delivery of exceptional customer service.

• Strong grasp of digital marketing trends, content strategy, and social media applications in financial services.

• Experience in a dual-registrant environment (broker-dealer and RIA).

• Comprehensive knowledge of SEC Marketing Rule requirements, including regulations concerning third-party awards, endorsements, testimonials, and performance advertising.

• Extensive familiarity with FINRA and SEC advertising/communications regulations.

• Ability to interpret and align regulatory rules with proposed advertising materials.

• FINRA Series 7 License required.

• FINRA Series 24 License required.

• Series 66 must be obtained within 3 months of hire.

🏝️ Benefits

• Competitive salary and performance-based incentives.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with company match.

• Opportunities for professional development and continuing education.

• Flexible work arrangements and a supportive work environment.