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Advertising Compliance Analyst
Location
Arizona + 1 moreAll locations: Arizona | Iowa
Posted
8 days ago
Salary
0
Seniority
Senior
Job Description
Advertising Compliance Analyst
CIR
• Review and approve communications with the public to fulfill supervisory and regulatory requirements, including stationery, newsletters, websites, podcasts, videos, social media content, reporting templates, and other advertising materials. • Applies critical thinking and analytical judgment to evaluate advertising content, imagery, performance reporting templates, and disclosures for compliance risks while maintaining service level standards. • Research, interpret, and apply regulations and firm policies to a wide variety of advertising scenarios, including situations where context determines whether specific wording, imagery, or claims are appropriate. • Draft, tailor, and recommend disclosure language when standard disclosures do not fully address the facts or risks of a specific submission. • Clearly communicate required changes, explain the reason for revisions, and provide alternate language or practical options to help financial professionals achieve compliant outcomes. • Provide responsive customer service to management, company associates, and financial professionals; track open issues and follow up consistently through resolution. • Communicate internal and external policies and procedures, monitor adherence, and escalate potential violations or concerns to management as appropriate. • Maintain working industry knowledge and complete continuing education requirements for applicable FINRA licenses, including Series 7 and Series 24.
Job Requirements
- Advertising review experience is preferred.
- Experience with RegEd AdTrax, Smarsh, and FMG Suite is a plus.
- Proficiency with Microsoft Outlook and Excel is required, including the ability to review advisor-created reports, verify information sources, and assess whether data is being used appropriately.
- Modern media literacy is required, including reviewing podcasts, videos, social media, hosted content, interactive digital functions, and multiple file types.
- Active Financial Industry Regulatory Authority securities licenses are required, including Securities Industry Essentials, Series 7, and Series 24.
Benefits
- Premium benefit package including medical, vision, dental, life and long-term disability insurance
- Vacation/sick time
- 401K retirement plan with company matching program
- Eleven paid holidays
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