Marketing Compliance Analyst

RBC•Boston, MA

11d•Onsite

About The Position

As a Senior Marketing Compliance Analyst, you will play a critical role in supporting the firm’s Institutional and Retail marketing compliance framework. This role primarily focuses on executing marketing compliance reviews and managing the day-to-day workflow queue under the guidance of the Associate Director. You will ensure marketing, performance, and sales materials adhere to firm policies and regulatory standards (e.g., SEC, FINRA), while escalating complex issues to the Associate Director for resolution.

Requirements

3+ years of experience in marketing compliance, regulatory review, or a related function within financial services.
Series 7 required; must have or be able to obtain the series 24 within 90 days of hire.
High ethical standards and attention to detail.
Ability to build relationships with internal partners (e.g., marketing, sales, legal).

Nice To Haves

A degree (e.g., BA/BS) in a relevant field such as Business, Finance, or Law.
Experience reviewing marketing/advertising materials for SEC/FINRA compliance.
Understanding of the Investment Advisor Act, Investment Company Act, and the SEC marketing rule.
Experience with compliance workflow tools or third-party compliance platforms.
Familiarity with digital marketing compliance (e.g., websites, social media).

Responsibilities

Conduct thorough reviews of advertising, sales literature, marketing collateral, digital properties, and thought leadership materials against regulatory and firm standards.
Prioritize and process compliance review requests efficiently to meet business needs.
Apply knowledge of SEC, FINRA, Investment Advisor Act, and Investment Company Act rules to ensure materials meet compliance requirements.
Engage with sales, production, and marketing teams to provide compliance feedback and guidance on routine matters.
Ensure accurate documentation and retention of reviewed materials for audit purposes.
Support internal/external audit processes by providing requested materials and insights under the Associate Director’s oversight.
Identify and escalate high-risk or ambiguous compliance matters to the Associate Director for advanced review.