Advertising Compliance Analyst

ComplianceComplianceFull TimeRemoteSeniorTeam 1,001-5,000Since 1997Company SiteLinkedIn

Location

Arizona + 1 moreAll locations: Arizona | Texas

Posted

1 day ago

Salary

0

Seniority

Senior

Bachelor Degree5 yrs expEnglish

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

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