Advertising Review Senior Compliance Analyst

About This Role

This role involves mitigating legal and regulatory risk by reviewing advertising materials from financial professionals and home office personnel, ensuring compliance with company policies and regulations. The analyst will provide guidance to business partners and contribute to the development of compliance programs.

Responsibilities

• Review and approve company, product, and producer advertising materials in accordance with company guidelines and applicable state/federal rules and regulations
• Review advertising material submitted by financial professionals, ensuring uniform application of departmental and regulatory policies
• Monitor and review social media and web content published or maintained by financial professionals and assist in the remediation of any violations discovered
• Provide guidance and support to business partners (e.g., Sales and Marketing) in their creation of business content to accomplish advertising goals while mitigating risk
• Update and maintain complete and accurate compliance logs or files to aid in reporting to senior leadership and regulators
• Perform analysis, identify trends, and follow up on opportunities for enhancement with minimal supervision
• Assist team members with research and assigned tasks; provide training to supported teams and contribute to the development of new and/or enhanced compliance programs
• Research, analyze and interpret current, new, and proposed regulatory requirements to determine impact to organization

Requirements

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
• Four years of regulatory, securities, or advertising compliance experience
• FINRA Series 6 & 26
• Excellent written and verbal communication skills
• Analytical and research skills
• Proficiency using MS Office tools

Qualifications

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
• Four years of regulatory, securities, or advertising compliance experience

Nice to Have

• FINRA Series 7 & 24

Skills

* Required skills

Benefits

Certifications