Senior Compliance Analyst – Advertising Review

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

📋 Description

• Evaluate retail communications for compliance with applicable laws, company policies, and regulations.

• Clearly articulate any necessary modifications to retail communications to the submitter in a precise and informative manner.

• Ensure that your reviews adhere to record retention policies.

• Investigate policy inquiries using the provided company manuals and additional resources.

• Guarantee adherence to company policies by performing the following:

• Aim for consistent reviews on a continual basis.

• Aid in the upkeep of internal compliance resources such as manuals and reference documents.

• Comprehend workflow processes related to various vendors.

• Collaborate with other analysts and function effectively as a team member to accomplish tasks.

• Fulfill assignments within the designated service level agreement timelines.

• Perform other responsibilities as assigned.

⛳️ Requirements

• Bachelor’s degree or equivalent professional experience.

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

• Required FINRA registrations: Series 7, 24, and 63.

• Proficient understanding of life insurance and annuity products.

• General familiarity with advanced marketing principles.

• Strong organizational skills.

• Excellent written and verbal communication capabilities.

• Capacity to manage high volumes of work under strict deadlines.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance plans designed to accommodate diverse lifestyles, provide preventative care, and offer protection against financial hardships.

• Accessible mental health benefits aimed at supporting our team members and their families.

• Over 20 days of paid time off (PTO), paid holidays, and 2 paid wellness days, allowing employees to spend time with loved ones, recharge, and contribute to their communities.

• 401(k) savings plan with a generous employer contribution (up to 5%), along with access to a financial professional to help employees plan for a secure financial future beyond their working years.

• Paid parental leave to assist all team members with childbirth, adoption, and fostering.

• Health Savings and Flexible Spending Account options to help employees save on healthcare, childcare, commuting, and more.

• Employee Assistance Program (EAP), LifeLock, Pet Insurance, and additional benefits.