Advertising Compliance Analyst

CIR

Advertising Compliance Analyst ensuring compliance in advertising materials for financial services. Collaborating with financial professionals and internal associates to identify compliance concerns and support clear communication.

Posted 7/8/2026full-timePhoenix • Arizona, Iowa • 🇺🇸 United StatesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

Review and approve communications with the public to fulfill supervisory and regulatory requirements
Applies critical thinking and analytical judgment to evaluate advertising content for compliance risks
Research, interpret, and apply regulations and firm policies to advertising scenarios
Draft, tailor, and recommend disclosure language for specific submissions
Provide responsive customer service to management and financial professionals
Communicate internal and external policies and procedures and monitor adherence

Requirements

What you’ll need

Advertising review experience is preferred.
Experience with RegEd AdTrax, Smarsh, and FMG Suite is a plus.
Proficiency with Microsoft Outlook and Excel is required.
Modern media literacy is required.
Active Financial Industry Regulatory Authority securities licenses are required, including Securities Industry Essentials, Series 7, and Series 24.

Benefits

Comp & perks

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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Critical ThinkingAnalytical JudgmentRegulatory ComplianceDisclosure Language DraftingMicrosoft OutlookMicrosoft Excel

Soft Skills

Customer ServiceCommunication

Certifications

Securities Industry EssentialsSeries 7Series 24