Senior Compliance Analyst - FINRA Licensed

Job Summary

To ensure compliance with firm policy and regulatory standards, the full-time remote Senior Compliance Analyst - FINRA Licensed will review retail communications, explain necessary changes, and maintain internal compliance materials while collaborating with team members.

Key responsibilities

• Review retail communication for compliance with applicable laws, firm policy, and regulations
• Explain required changes to submitters clearly and accurately
• Assist in maintaining internal compliance materials and ensure adherence to record retention requirements

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