Senior Compliance Analyst - FINRA Licensed

Job Summary

Reviewing retail communication for compliance with firm policies and regulatory standards, the full-time Senior Compliance Analyst - FINRA Licensed will work remotely to ensure adherence to FINRA and SEC rules while assisting in maintaining internal compliance materials and collaborating with team members.

Key responsibilities

• Review retail communication against applicable laws and regulations, providing clear explanations for necessary changes
• Ensure compliance with record retention requirements and strive for consistency in reviews
• Research policy questions and assist in maintaining internal compliance materials

Required qualifications

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