FINRA Licensed Compliance Analyst
Job Summary
Ensuring compliance with state and federal laws, the full-time remote FINRA Licensed Compliance Analyst will review retail communication, interpret regulatory impacts, and manage the review process for insurance and securities advertising materials.
Key responsibilities
- Review retail communication for compliance with applicable laws and regulations, and track communications per industry standards
- Assist in researching and drafting insurance/securities products and advertising materials, and correspond with regulatory bodies as needed
- Manage the subject matter expert review process to ensure consistent compliance reviews across the organization
Required qualifications
- Bachelor's degree or equivalent experience
- Three years of relevant experience in compliance, preferably with advertising compliance
- Series 7, 24, and 63 FINRA registrations required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
Complete Job Description
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