Advertising Compliance Analyst

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

📋 Description

• Offer expertise in evaluating sales literature, marketing materials, and communications, while proactively aiding financial professionals in ensuring content aligns with 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.

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

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

• Collaborate effectively with financial professionals, product partners, external broker-dealers, RIAs, agents, advertising agencies, and public relations firms.

• Assist in training internal teams and field personnel on advertising processes, systems, and regulations.

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

• Submit advertising and communications to FINRA as required.

• Perform regulatory research as needed.

• 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 provision of excellent customer service.

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

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

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

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

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

• Strong verbal and written communication skills; adeptness at clearly and constructively explaining complex compliance concepts.

• Exercise sound judgment, critical thinking, and robust analytical skills to navigate intricate regulatory guidelines independently, 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 is required.

• FINRA Series 24 License is required.

🏝️ Benefits

• Comprehensive health and wellness programs.

• Competitive salary and performance-based bonuses.

• Opportunities for professional development and career advancement.

• Flexible work arrangements and a supportive work environment.