FINRA Licensed Compliance Analyst
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Job Summary
Working remotely, the full-time FINRA Licensed Compliance Analyst will ensure that all retail communications comply with state and federal laws, 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 communicate changes to relevant stakeholders
- Assist in researching, drafting, and reviewing advertising materials for insurance and securities products
- Manage the subject matter expert review process to ensure consistent compliance 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 required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
Complete Job Description
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