Series 7 and 24 Licensed Marketing Analyst

Job Summary

Working remotely on a contract basis, the Principal Marketing Regulatory Review Analyst will evaluate and approve marketing materials for financial professionals, ensuring compliance with FINRA 2210 and SEC regulations while leveraging their Series 7 and 24 licenses.

Key responsibilities

• Evaluate marketing materials and public communications to provide principal approval or guidance for changes
• Consult with internal partners and advisors regarding their marketing materials
• Assist with data collection and intake of marketing materials for review

Required qualifications

• 3+ years of experience in financial services with a focus on advertising/marketing compliance review
• Strong knowledge of FINRA 2210, SEC, and state regulations related to public communications
• Active Series 7 and Series 24 licenses
• Prior experience in a client-facing role, comfortable communicating complex issues
• Experience with advisor-created marketing regulatory reviews