FINRA Licensed Advertising Analyst

Job Summary

A company is looking for a Compliance - Advertising Analyst.

Key Responsibilities

• Review sales literature, marketing materials, and communications to ensure compliance with regulatory requirements
• Develop and maintain controls, systems, procedures, and records as required by FINRA, SEC, and state regulators
• Assist in training internal teams and provide mentorship to Advertising Compliance Analysts

Required Qualifications

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