Senior Compliance Analyst Jobs

About The Position

Requirements

• Bachelor’s degree in business, legal studies, risk management, compliance, or a related field.
• At least 5 years of regulatory, securities, insurance, marketing, advertising-compliance, or related compliance experience.
• At least 2 years of experience reviewing advertising requirements, marketing communications standards, and applicable state, federal, securities, insurance, FINRA, and/or SEC rules and regulations.
• FINRA Series 7 and Series 24 registrations, or ability to obtain them within 6 months of the job entry date.
• Strong written and verbal communication skills, including the ability to explain compliance requirements clearly to business partners and stakeholders.
• Analytical, research, organizational, and critical-thinking skills, with strong attention to detail and accuracy.
• Ability to coordinate and prioritize multiple reviews, filings, projects, and deadlines in a fast-paced environment.
• Proficiency with Microsoft Office tools and other applicable advertising-review, document-management, or workflow systems.
• Legal authorization to work in the United States without immigration-related employment sponsorship.

Nice To Haves

• FINRA Series 65 or 66, depending on investment-advisor support, or other FINRA registrations based on assigned responsibilities.
• Experience with an insurance marketing-compliance platform such as Red Oak.

Responsibilities

• Independently review, analyze, edit, and approve business-line advertising, marketing, and communications materials, researching applicable regulatory requirements, guidance, and policy changes.
• Evaluate complex advertising submissions, identify regulatory and reputational risks, and determine appropriate remediation or escalation.
• Guide and support business partners, sales, marketing, product teams, representatives, supervisors, and other stakeholders on advertising-compliance standards.
• Maintain records, approvals, documentation, and evidence supporting advertising reviews in accordance with applicable recordkeeping requirements.
• Determine whether advertising materials require regulatory filing and coordinate filings with FINRA, state insurance departments, or other regulators as needed.
• Identify, recommend, and help implement practices, procedures, tools, and controls to improve review quality, consistency, efficiency, and regulatory compliance.
• Compile information for management, regulatory, or compliance reporting; analyze information, identify trends, and follow up on enhancement opportunities with minimal supervision.
• Participate in regulatory examinations, internal reviews, and corporate audits related to advertising compliance; gather information, check documentation, and assist with responses or remediation.
• Assist team members with research, assigned work, training, and knowledge-sharing, and provide subject-matter input on advertising-compliance matters and escalations.

Benefits

• Competitive pay.
• Annual bonus eligibility based on the Company Bonus Plan and individual performance, at the company's discretion.
• Comprehensive benefits package for eligible employees.
• Pension plan.
• 401(k) match.
• Employee stock purchase plan.
• Tuition reimbursement.
• Disability insurance.
• Medical insurance.
• Dental insurance.
• Vision insurance.
• Employee discounts.
• Career training and development opportunities.
• Paid time off starting at 160 hours annually for employees in their first year of service.
• Ten paid holidays per year.
• Holistic wellness program with wellness coaching and reward dollars.
• Paid parental leave of 15 days per calendar year for eligible employees with at least one year of service.
• Adoption assistance.
• Employee assistance program.
• Back-up care program.
• Paid time off for volunteer hours.
• Employee matching gifts program.
• Employee resource groups.
• Inclusion and diversity programs.
• Employee recognition program.
• Referral bonus programs.