Advertising Compliance Analyst

Cambridge Investment Research, Inc. • Phoenix, AZ

2d • Hybrid

About The Position

The Advertising Compliance Analyst works under the direction of Compliance leadership to review and approve communications with the public, ensuring advertising materials comply with applicable regulations, firm policies, and supervisory requirements. This role requires strong critical thinking, sound judgment, attention to detail, and the ability to evaluate nuanced situations that may not have a simple black-and-white answer. The Analyst partners with financial professionals and internal associates to identify compliance concerns, recommend appropriate revisions, and support clear, compliant communications across traditional and modern media channels.

Requirements

• Active Financial Industry Regulatory Authority securities licenses are required, including Securities Industry Essentials, Series 7, and Series 24.
• 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.
• Strong critical thinking skills with the ability to evaluate complex, nuanced, and context-specific advertising issues.
• Ability to troubleshoot basic file type or media submission issues and learn new systems and processes quickly.
• Detail-oriented approach with strong editing, organizational, and follow-through skills.
• Ability to read, analyze, and interpret business documents, technical procedures, regulations, and firm policies.
• Ability to write clear business correspondence, reports, procedure documentation, and disclosure language.
• Ability to explain compliance concerns in plain language and collaborate with submitters to identify compliant alternatives.
• Ability to calculate and interpret figures and amounts such as interest, commissions, percentages, proportions, probability, and related financial concepts.
• Ability to define problems, collect data, establish facts, draw valid conclusions, and solve practical problems with limited standardization.
• Comfort working in a fast-changing media environment and adapting to new technology, systems, and review processes.

Nice To Haves

• Advertising review experience is preferred.
• Experience with RegEd AdTrax, Smarsh, and FMG Suite is a plus.

Responsibilities

• 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.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed