Analyst, Advertising Review

Job Details
Support compliance with financial services regulations by reviewing advertising and communications. Evaluate marketing materials and correspondence to ensure alignment with regulatory standards and internal policies. Assist in maintaining compliance programs, supporting audits, and contributing to training and strategic initiatives.

Responsibilities

Advertising & Communications Review: Review marketing materials and communications, including websites, social media, videos, and radio content, for compliance with regulatory requirements and internal standards. Ensure adherence to applicable rules within the hybrid RIA model.

Compliance Operations & Systems: Utilize compliance systems such as Web CRD, Smarsh, and other platforms to support regulatory requirements and documentation. Maintain accurate records and assist in ongoing compliance monitoring.

Testing & Audit Support: Assist in performing compliance testing to evaluate the effectiveness of policies and procedures. Support audit-related activities and identify areas for improvement.

Policy & Program Maintenance: Support the maintenance and updates of compliance manuals and written supervisory procedures. Contribute to the continuous improvement of compliance frameworks.

Training & Education: Assist in preparing and delivering compliance training programs. Help promote understanding of regulatory requirements across stakeholders.

Cross-Functional Collaboration: Participate in cross-functional initiatives and strategic projects. Provide compliance perspective and support risk mitigation efforts.

Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

Requirements

Series 7 license required or must be obtained within six months of start date.

Series 66 license required or must be obtained within twelve months of start date.

Series 24 license preferred.

Proficiency in Microsoft Office applications, including Word, Excel, Outlook, and PowerPoint required.

Strong written, verbal, and interpersonal communication skills required.

Demonstrate ability to prioritize work, manage multiple tasks, and perform effectively in a fast-paced environment required.

Demonstrate strong attention to detail and organizational skills required.

Demonstrate ability to identify and communicate compliance risks professionally required.

Demonstrate ability to explain regulatory requirements clearly and effectively required.

Demonstrate strong customer service skills with a sense of urgency required.

Demonstrate willingness and ability to learn new technologies required.

Preferred Education & Experience

Bachelor’s degree in a related field preferred.

Minimum of two years of compliance experience in a fast-paced environment preferred.

Experience within a registered investment adviser, brokerage, or compliance consulting firm preferred.

Experience with compliance advertising review preferred.

Audit experience preferred.

EEO Statement
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability, protected veteran status, sexual orientation, age or any other characteristic protected by law.

Total Rewards

Starting annual base salary between $60,000- $72,000.

Variable compensation potential (Bonus and/or commissions).

Competitive benefits including 401(k) with company contribution, PTO, Parental Leave, Medical, Dental, Vision, Health Savings Accounts, Flexible Spending Accounts, Life and AD&D Insurance, Short and Long-Term Disability, Work/Life Benefits and Holistic Wellbeing Programs.

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