Review and approve company, product, and producer advertising materials in accordance with company guidelines and applicable state/federal rules and regulations.
Review advertising material submitted by financial professionals; ensuring uniform application of departmental and regulatory policies.
Monitor and review social media and web content published or maintained by financial professionals and assist in the remediation of any violations discovered.
Provide guidance and support to business partners (e.g., Sales and Marketing) in their creation of business content and work to identify possible solutions to accomplish their advertising goals while mitigating risk.
Update and maintain complete and accurate compliance logs or files to aid in reporting to senior leadership and regulators.
With minimal supervision, perform analysis, identify trends, and follow up on opportunities for enhancement.
Assist team members with research and assigned tasks; provide training to supported teams and contribute to the development of new and/or enhanced compliance programs.
Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
Four years of regulatory, securities, or advertising compliance experience
Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications
FINRA Series 6 & 26
Excellent written and verbal communication skills
Analytical and research skills
Proficiency using MS Office tools

Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs

Senior Compliance Analyst

Key skills