Compliance Analyst

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Compliance Analyst – Advertising Review based in the United States.

• Review retail communications and advertising materials for compliance with applicable laws, regulations, internal policies, and FINRA and SEC requirements.
• Communicate required revisions to submitters clearly, accurately, and concisely, explaining the rationale behind compliance decisions.
• Ensure reviews and related documentation meet applicable record-retention requirements.
• Research regulatory and policy questions using internal manuals, reference materials, and other relevant resources.
• Maintain consistency and quality across reviews while applying established compliance standards.
• Support the development and maintenance of internal compliance manuals, reference guides, and other resources.
• Understand and follow workflow processes associated with different vendors and submission channels.
• Collaborate with other analysts to complete assignments, share knowledge, and support team objectives.
• Manage a high volume of submissions while meeting established service-level agreements and deadlines.

• Bachelor’s degree or equivalent relevant professional experience.
• At least five years of relevant experience in advertising compliance.
• Required FINRA registrations: Series 7, Series 24, and Series 63.
• Working knowledge of life insurance and annuity products.
• General understanding of advanced marketing concepts and retail communications.
• Strong written and verbal communication skills, including the ability to explain complex compliance requirements clearly.
• Excellent organizational skills and strong attention to detail.
• Ability to prioritize competing assignments, manage high workloads, and meet tight deadlines without compromising review quality.
• A collaborative mindset, sound judgment, and commitment to consistent application of policies and regulatory standards.

• Annual base salary ranging from $85,000 to $100,000, plus a performance-based bonus.
• Health, dental, vision, and life insurance coverage.
• Mental health benefits and an Employee Assistance Program (EAP).
• More than 20 days of paid time off, paid holidays, and two paid wellness days.
• 401(k) savings plan with employer contributions of up to 5%.
• Paid parental leave for birth, adoption, and fostering, as well as paid caregiver leave.
• HSAs and FSAs.
• Identity theft protection through LifeLock, pet insurance, and other optional benefits.
• Remote position within the United States.