Advertising Compliance Analyst
Location
Arizona + 1 moreAll locations: Arizona | Texas
Posted
1 day ago
Salary
0
Seniority
Senior
Job Description
Advertising Compliance Analyst
Kestra Holdings
• 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 firm’s cultural commitment.
Job Requirements
- Bachelor’s Degree preferred
- Minimum 5 years industry experience
- 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.
- FINRA Series 7 License required
- FINRA Series 24 License required
Related Guides
Related Categories
Related Job Pages
More Compliance Jobs
• Collaborate with senior and executive stakeholders globally. • Act as a senior advisor to stakeholders across Legal, Compliance, Technology, and business divisions. • Lead cross-functional governance forums to drive alignment and accountability for data governance activities. • Be an integral part of enhancing and developing the global Data Compliance program, working alongside executive leadership to drive our team forward. • Lead the design, implementation, and governance of enterprise Information Governance frameworks covering data lifecycle management (creation, use, retention, and disposal). • Own and maintain core policies and standards. • Ensure alignment with regulatory requirements, internal risk frameworks, and international standards. • Establish and oversee enterprise-wide data classification frameworks and compliance monitoring. • Partner with Information Security and technology teams to ensure appropriate controls for data access, storage, and protection. • Implement and track metrics to measure classification compliance and data handling effectiveness. • Drive development of a scalable, enterprise data governance model. • Collaborate with business, technology, and risk teams to ensure governance controls are embedded across products, platforms, and operations. • Embed privacy by design and default principles into business processes, systems, and product development. • Support execution of S&P Global’s Global Privacy Program and related controls. • Identify, assess, and mitigate risks relating to data governance, retention, classification, and regulatory compliance. • Act as Data Compliance support for the development, implementation, and continuous enhancement of S&P Global’s AI governance framework.
LATAM Policy and Regulatory Specialist
Crystal IntelligenceBlockchain intelligence and compliance solutions for financial institutions, governments & regulators
• Build and maintain strong relationships with regulators, law enforcement agencies, financial authorities, and public institutions across Brazil and LATAM. • Represent Crystal in industry associations, working groups, and public-sector initiatives. • Monitor, analyze, and report on regulatory developments related to digital assets, cryptocurrencies, stablecoins, and financial services. • Provide regulatory insights to internal teams to support product positioning and market strategy. • Partner closely with sales executives to create, identify, and develop new pipeline opportunities. • Support opportunity creation and deal progression through regulatory and compliance expertise. • Assist with RFPs, regulatory questionnaires, and compliance-related sales materials. • Join customer and prospect calls as a regulatory and subject-matter expert. • Support renewal conversations and account growth for strategic clients. • Support ongoing client relationships and advise on crypto-regulatory frameworks and policy development. • Lead and manage digital-asset risk and regulatory advisory engagements across the region. • Own and continuously improve Crystal’s training programs for government agencies and institutions. • Design and deliver virtual and onsite training sessions across LATAM. • Conduct regulatory and market research and produce qualitative and quantitative reports. • Collaborate with Product, Business Development, and Marketing to create content that supports thought leadership and brand visibility. • Develop messaging tailored to specific industries, personas, and regulatory audiences. • Contribute to webinars, events, and industry presentations.
Analyst – Regulatory Compliance
Circular Action AllianceCAA is a U.S. Producer Responsibility Organization dedicated to implementing effective EPR laws for paper and packaging.
• Support implementation and ongoing administration of California SB 54 statutory and regulatory requirements • Monitor, analyze, and summarize California regulatory developments • Assist in translating regulatory requirements into operational processes • Maintain documentation supporting regulatory interpretations and compliance decisions • Coordinate with internal stakeholders to identify and resolve reporting discrepancies
Compliance Specialist
ARISE VIRTUAL SOLUTIONS, INCArise connects leading brands with a network of talented independent professionals. Through our virtual learning environment, we deliver engaging certification and onboarding programs that prepare Service Partners for success across a variety of client programs.
Role Description Our high performing Compliance team at Arise is looking for a Compliance Specialist who will report to the Compliance Manager and support a wide range of internal policies and programs. The ideal candidate is committed to understanding and executing the compliance policies on our technology platform, sharing the values that will make our team and the company a success and excited to positively impact small businesses. Our team’s mission is to adhere to internal policy and controls and enforce external regulatory standards, and we believe that our shared values drive our success, inform our actions, and guide our decisions. This is your opportunity to join this cohesive team and leave your mark on Arise and the booming gig-economy. - Execute independently, and as part of a team, internal investigations, and audits on compliance-related issues - Preparing communications about compliance requirements to contractors - Ensuring all activities and documentation are compliant with company policies - Create records and track compliance activities - Build and maintain relationships with and provide advice and serve as trusted subject matter expert to operations employees on one or more key compliance issues - Identifying, assessing, and resolving compliance issues and irregularities - Participate in special projects and perform other duties as assigned. Qualifications - Excellent organizational and time-management skills - Ability to handle confidential and sensitive issues, and to professionally balance urgency and decisiveness with patience and compassion - Excellent communication skills - Ability to form collaborative relationships across the organization - Ability to effectively interact and build relationships with a diverse employee population - Ability to manage multiple complex projects independently, and meet deadlines under pressure - Associate’s (A.A.) or equivalent degree or 2-4 years of related professional experience in compliance, auditing or operations



