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
- Assist in researching and responding to inquiries from regulatory bodies and customers regarding compliance issues
- Maintain internal compliance materials and strive for consistency in the review process across the organization
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
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 44,891 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
Wikipedia Wikipedia URL
BBB URL BBB URL
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
