Series 7 and 24 Marketing Analyst

Job Summary

To support a growing team, the contract Marketing Regulatory Review Analyst will work remotely, focusing on evaluating and approving marketing materials for financial professionals while ensuring compliance with FINRA 2210 and SEC regulations.

Key responsibilities:

• Evaluate marketing materials and communications to provide principal approval or guidance on necessary changes
• Consult with internal partners and advisors regarding their marketing content
• 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
• Active Series 7 and Series 24 licenses
• Strong knowledge of FINRA 2210, SEC, and state regulations related to public communications
• Prior client-facing experience with the ability to explain complex issues clearly
• Experience performing advisor-created marketing regulatory reviews