Senior Compliance Analyst – Advertising Review

This is a fully remote position, open to applicants in United States.

📋 Description

• Evaluate retail communications to ensure compliance with relevant laws, company policies, and regulations.

• Clearly and accurately communicate necessary adjustments to submitters regarding retail communications.

• Ensure that reviews adhere to record retention standards.

• Investigate policy inquiries utilizing firm manuals and supplementary resources.

• Maintain consistency across all reviews.

• Support the upkeep of internal compliance manuals and reference documents.

• Comprehend workflow processes for various vendors.

• Collaborate with other analysts and function as a team to fulfill assignments.

• Complete tasks within designated service level agreement timeframes.

• Carry out additional responsibilities as assigned.

⛳️ Requirements

• A bachelor’s degree or equivalent experience is required.

• A minimum of five years of relevant experience in advertising compliance.

• Series 7, 24 & 63 FINRA registrations are mandatory.

• Proficient understanding of life insurance and annuity products.

• General knowledge of advanced marketing principles.

• Strong organizational skills.

• Excellent written and verbal communication abilities.

• Capability to manage high workloads under strict deadlines.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance packages.

• Mental health support services.

• Over 20 days of paid time off (PTO).

• Paid holidays.

• Two paid wellness days.

• 401(k) savings plan with company contributions up to 5%.

• Access to a financial professional.

• Paid parental leave.

• Options for Health Savings Account and Flexible Spending Account.

• Employee Assistance Program (EAP).

• LifeLock identity theft protection.

• Pet insurance.

• Paid caregiver leave.

• Additional voluntary benefits.