Advertising Analyst

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

📋 Description

• Offer subject matter expertise by reviewing sales literature, marketing materials, and communications, while actively supporting financial professionals in ensuring content adheres to regulatory standards and internal policies.

• Aid in the development and upkeep of controls, systems, procedures, and records as mandated by FINRA, SEC, and state regulators.

• Assist in the formulation and revisions of supervisory procedures, training materials, a compliance-approved library of resources, 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, Registered Investment Advisors (RIAs), agents, advertising agencies, and public relations firms.

• Support the training of internal teams and field staff regarding advertising processes, systems, and regulations.

• Escalate pertinent questions or issues to senior analysts or management when necessary.

• Submit advertising and communications to FINRA as required.

• Perform regulatory research as needed.

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

⛳️ Requirements

• Bachelor's Degree is preferred.

• At least 5 years of industry experience.

• Strong grasp of digital marketing trends, content strategy, and the use of social media within financial services.

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

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

• Deep familiarity with FINRA and SEC advertising and communications regulations.

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

• Excellent verbal and written communication skills; able to clarify complex compliance concepts in a clear and constructive manner.

• Knowledge of securities and insurance products, along with investment advisory services.

• FINRA Series 7 License is required.

• FINRA Series 24 License is required.

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

🏝️ Benefits

• Competitive salary and performance-based incentives.

• Comprehensive health, dental, and vision insurance packages.

• Retirement savings plan with company matching contributions.

• Opportunities for professional development and continuing education.

• Generous paid time off and holiday schedule.