Compliance - Advertising Analyst Job at Kestra Financial in Phoenix
Kestra Financial, Phoenix, AZ, US, 85003
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ABOUT US:
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
ABOUT US:
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
Support the marketing initiatives of financial professionals utilizing Kestra Financial. From print materials to social media campaigns and seminars, these professionals must adhere to a wide range of regulatory requirements. This position is responsible for reviewing financial professionals communications, providing tailored compliance solutions to ensure each piece meets regulatory standards, and maintaining accurate records in accordance with regulations.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
To perform this job successfully, individual must be able to execute each essential duty:
- Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies.
- Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.
- Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.
- Participate in the training and mentorship of Advertising Compliance Analysts.
- Collaborate effectively with financial professionals, product partners, outside broker-dealers, RIAs, agents, advertising agencies, and PR firms.
- Assist in training internal teams and field staff on advertising processes, systems, and regulations.
- Elevate relevant questions or concerns to senior analysts or management as appropriate.
- File advertising and communications with FINRA as required.
- Conduct regulatory research as needed.
- Demonstrate professionalism, accountability, client focus, and teamwork as part of the firms cultural commitment.
To perform this job successfully, the individual should demonstrate the following:
- Consistent delivery of excellent customer service.
- Strong understanding of digital marketing trends, content strategy, and social media use in financial services.
- Experience working within a dual-registrant environment (broker-dealer and RIA).
- Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising.
- In-depth familiarity with FINRA and SEC advertising/communications regulations.
- Ability to interpret and reconcile regulatory rules with proposed advertising materials.
- Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively.
- Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment.
- Understanding of securities and insurance products, as well as investment advisory services.
EDUCATION AND/OR EXPERIENCE:
- Bachelors Degree preferred
- Minimum 5 years industry experience
- FINRA Series 7 License required
- FINRA Series 24 License required
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Location: Austin, TX or Phoenix, AZ preferred; remote considered.
OTHER DUTIES: Please note this job description is not designed to cover or contain a complete comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
INTERNAL APPLICANT POLICY:
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
BENEFITS:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
- You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
- It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.
Seniority level
Seniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Marketing and Sales
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