Senior Compliance Analyst - FINRA Licensed
A company is looking for a Senior 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
Assist in maintaining internal compliance materials and complete assignments within service level agreements
Required Qualifications
Bachelor's degree or equivalent experience
Five years of relevant experience in advertising compliance
Series 7 & 24 FINRA registrations required
Working knowledge of life insurance and annuity products
General knowledge of advanced marketing concepts