FINRA Licensed Compliance Analyst

Job Summary

To ensure compliance with state and federal regulations, the fully remote FINRA Licensed Compliance Analyst will review retail communications, assist in drafting and reviewing advertising materials, and manage the subject matter expert review process.

Key responsibilities

• Review retail communication for compliance with applicable laws and regulations, and track communications per record retention requirements
• Assist in researching and responding to inquiries from regulatory bodies and customers regarding compliance issues
• Maintain internal compliance materials and ensure consistency in the review process across the organization

Required qualifications

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