FINRA Licensed Compliance Analyst

Job Summary

To ensure compliance with state and federal laws, the full-time FINRA Licensed Compliance Analyst will review retail communications, interpret regulatory impacts, and manage the subject matter expert review process in a fully remote environment.

Key responsibilities

• Review retail communication for compliance with applicable laws and regulations
• Assist in researching and drafting insurance/securities products and advertising materials
• Correspond with regulatory bodies and respond to inquiries from state insurance departments or FINRA

Required qualifications

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