Series 7 and 24 Licensed Marketing Analyst
Job Summary
To support regulatory compliance, the 100% remote Marketing Regulatory Review Analyst will review and approve marketing materials from Financial Advisors, consult on marketing initiatives, and address regulatory inquiries in a contract role lasting over 12 months.
Key responsibilities
- Evaluate marketing materials and public communications for principal approval and provide guidance on necessary changes
- Consult with advisors on their marketing initiatives to ensure compliance with regulations
- Assist with research and responses to regulatory inquiries, including branch exams
Required qualifications
- 3+ years of experience in financial services and advertising/marketing compliance review
- Prior experience in a client-facing role, with strong communication skills
- Knowledge of FINRA, SEC, and State rules and regulations
- Licensing Requirement: Series 7 and 24
- Bachelor's degree preferred
Complete Job Description
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