Advertising Analyst, Supervision

Dayforce

Advertising and Supervision Analyst managing compliance for advertising and business activities. Collaborating with professionals and ensuring adherence to regulatory standards in financial services.

Posted 7/29/2026full-timeRemote • Irving • Arizona, Texas • 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance within financial services, including a strong understanding of SEC and FINRA regulations. Proficient in training and mentoring teams while ensuring adherence to advertising and communication standards.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 24 LicenseSEC Marketing Rule KnowledgeAdvertising Compliance ExperienceDigital Marketing Trends Understanding

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ResearchAdvertising ReviewCompliance Procedures DevelopmentContent StrategyAnalytical Skills

Soft Skills

Strong Communication SkillsCritical ThinkingAttention to DetailTeam CollaborationClient Focus

Certifications & Qualifications

FINRA Series 7 LicenseFINRA Series 24 LicenseSeries 66

Industry Keywords

FINRASECInvestment Advisory ServicesBroker-DealerRegistered Investment Adviser

About the role

Key responsibilities & impact

Lead with Purpose. Partner with Impact.
Review advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives
Provide subject matter expertise in reviewing sales literature, marketing materials, and communications
Proactively assist financial professionals in aligning content with regulatory requirements and internal policies
Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators
Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications
Responsible for the supervisory review of written and electronic correspondence
Responsible for the supervisory review of outside business activities (OBA)
Participate in the training and mentorship of Advertising Compliance Analysts
Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms
Assist in training internal teams and field staff on advertising processes, systems, and regulations
File advertising and communications with FINRA as required
Conduct regulatory research as needed
Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment.

Requirements

What you’ll need

Bachelor’s Degree preferred
Minimum 5 years industry experience
Consistent delivery of excellent customer service
Strong understanding of digital marketing trends, content strategy, and social media use in financial services
Experience working within a dual-registrant environment (broker-dealer and RIA)
Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising
In-depth familiarity with FINRA and SEC advertising/communications regulations
Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively
Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment
Understanding of securities and insurance products, as well as investment advisory services
FINRA Series 7 License required
FINRA Series 24 License required
Series 66 within 3 months of hire.

Benefits

Comp & perks

Health insurance
Retirement plans
Paid time off
Flexible work arrangements
Professional development
Regulatory compliance training