Senior Compliance Analyst – Advertising Review
Cnect
full-time
Posted on:
Location Type: Remote
Location: United States
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Salary
💰 $73,000 - $126,000 per year
Job Level
About the role
- Review retail communication against applicable laws, firm policy, and regulations.
- Be able to explain the reasons for any needed changes to retail communication to the submitter in a concise and accurate manner.
- Ensure your reviews are meeting record retention requirements.
- Research policy questions in the provided firm manuals and additional resources
- Ensure compliance with firm policy by doing the following:
- Strive for consistency of your reviews on an ongoing basis
- Assist in maintaining internal compliance materials such as manuals and reference material
- Understand workflow processes for different vendors
- Assist other analysts and work as a member of team to complete assignments
- Complete assignments within the service level agreement timeframes
- Other duties as assigned.
Requirements
- Bachelor’s degree or equivalent experience
- Five years 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
- Organization skills
- Must possess both good written and verbal communication skills
- Ability to manage high volumes under tight deadlines
Benefits
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
advertising compliancelife insurance productsannuity productsadvanced marketing concepts
Soft Skills
organization skillswritten communicationverbal communicationteam collaborationtime management
Certifications
Bachelor's degreeSeries 7 registrationSeries 24 registration