FINRA Licensed Compliance Analyst

Job Summary

To ensure compliance with state and federal regulations, the full-time remote FINRA Licensed Compliance Analyst will review retail communication, assist in drafting compliance materials, and manage the subject matter expert review process.

Key responsibilities

• Review retail communication for compliance with applicable laws and regulations, and communicate necessary changes to stakeholders
• Assist in researching and drafting insurance and securities advertising materials, and correspond with regulatory bodies for clarification
• Maintain internal compliance materials and manage the review process to ensure consistency across the organization

Required qualifications

• Bachelor's degree or equivalent experience
• Three years of relevant compliance experience, preferably in advertising compliance
• Series 7, 24, and 63 FINRA registrations are required
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts