Senior Compliance Analyst - FINRA Licensed

Job Summary

A company is looking for a Senior Compliance Analyst - Advertising Review.

Key Responsibilities

• Review retail communication for compliance with applicable laws, firm policy, and regulations
• Explain necessary changes to retail communication to submitters clearly and accurately
• Assist in maintaining internal compliance materials and ensure timely completion of assignments

Required Qualifications

• Bachelor's degree or equivalent experience
• Five years of relevant experience in advertising compliance
• Series 7 & 24 FINRA registrations required
• Working knowledge of life insurance and annuity products
• General knowledge of advanced marketing concepts