Senior Compliance Analyst - Advertising Review

📋 Description

• Review retail communications and advertising materials for compliance with applicable laws
• Communicate required revisions to submitters clearly, accurately, and concisely, explaining the
• Ensure reviews and related documentation meet applicable record-retention requirements.
• Research regulatory and policy questions using internal manuals, reference materials, and other
• Maintain consistency and quality across reviews while applying established compliance standards.
• Support the development and maintenance of internal compliance manuals, reference guides, and other

🎯 Requirements

• Bachelor’s degree or equivalent relevant professional experience.
• At least five years of relevant experience in advertising compliance.
• Required FINRA registrations: Series 7, Series 24, and Series 63.
• Working knowledge of life insurance and annuity products.
• General understanding of advanced marketing concepts and retail communications.
• Strong written and verbal communication skills, including the ability to explain complex compliance

🎁 Benefits

• Competitive compensation: Annual base salary ranging from $85,000 to $100,000, plus a
• Comprehensive insurance: Health, dental, vision, and life insurance coverage designed to support
• Mental health support: Access to mental health benefits and an Employee Assistance Program (EAP).
• Paid time off: More than 20 days of paid time off, paid holidays, and two paid wellness days.
• Retirement planning: 401(k) savings plan with employer contributions of up to 5%, along with access
• Family support: Paid parental leave for birth, adoption, and fostering, as well as paid caregiver