Advertising Analyst

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

📋 Description

• Provide expertise in evaluating sales literature, marketing materials, and communications, while proactively aiding financial professionals in ensuring content adheres to regulatory standards and internal policies.

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

• Assist in the creation and revision of supervisory procedures, training content, a compliance-approved materials library, and internal communications.

• Oversee the supervisory review of both 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 public relations firms.

• Aid in training internal teams and field staff on advertising processes, systems, and regulations.

• Escalate relevant queries or concerns to senior analysts or management as needed.

• Submit advertising and communications to FINRA as required.

• Perform regulatory research as necessary.

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

⛳️ Requirements

• Bachelor’s Degree preferred.

• At least 5 years of industry experience.

• Consistent delivery of outstanding customer service.

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

• Experience working within 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.

• Capability to interpret and reconcile regulatory rules with proposed advertising materials.

• Strong verbal and written communication skills; ability to articulate complex compliance concepts clearly and constructively.

• Demonstrate sound judgment, critical thinking, and robust analytical skills to independently navigate complex regulatory guidelines while maintaining exceptional attention to detail and collaborating effectively within a team environment.

• Understanding of securities and insurance products, as well as investment advisory services.

• FINRA Series 7 License required.

• FINRA Series 24 License required.

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

🏝️ Benefits

• Comprehensive benefits package.

• Opportunities for professional development and training.

• Supportive work environment that encourages teamwork and collaboration.