Advertising Compliance Analyst

Job Summary

A company is looking for an Advertising and Supervision Analyst.

Key Responsibilities

• Review sales literature, marketing materials, and communications to ensure compliance with regulatory requirements
• Contribute to the development of compliance controls, procedures, and training content
• Conduct supervisory reviews of correspondence and outside business activities while collaborating with various stakeholders

Required Qualifications

• Bachelor's Degree preferred
• Minimum 5 years of industry experience
• Strong understanding of SEC Marketing Rule requirements and FINRA advertising regulations
• FINRA Series 7 and Series 24 Licenses required; Series 66 within 3 months of hire
• Experience in a dual-registrant environment (broker-dealer and RIA) is preferred