State Licensed Compliance Analyst

Job Summary

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

Key Responsibilities

• Review retail communication for compliance with laws, firm policy, and regulations
• Explain necessary changes to retail communication to submitters accurately
• Maintain internal compliance materials and assist team members with assignments

Required Qualifications

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