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Advertising Compliance Analyst
DayforceAdvertising Compliance Analyst supporting financial professionals with compliance solutions to meet regulatory standards. Reviewing communications, developing procedures, and collaborating with various stakeholders.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance within financial services, particularly in advertising and communications, while effectively collaborating with various stakeholders. Proficient in interpreting SEC and FINRA regulations, developing training content, and maintaining compliance-approved materials.
Highest-signal resume keywords
FINRA Series 7 LicenseFINRA Series 24 LicenseSEC Marketing Rule KnowledgeAdvertising Compliance ExperienceDigital Marketing Strategy
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory ResearchAdvertising Procedures DevelopmentContent StrategyCompliance DocumentationAnalytical Skills
Soft Skills
Strong Communication SkillsTeam CollaborationCritical ThinkingAttention to DetailClient Focus
Certifications & Qualifications
Bachelor’s DegreeFINRA Series 7 LicenseFINRA Series 24 License
Industry Keywords
FINRASECAdvertising ComplianceFinancial ServicesDual-Registrant Environment
About the role
Key responsibilities & impact- Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting 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.
- Participate in the training and mentorship of Advertising Compliance Analysts.
- Collaborate effectively with financial professionals, product partners, outside broker-dealers, RIAs, agents, advertising agencies, and PR firms.
- Assist in training internal teams and field staff on advertising processes, systems, and regulations.
- Elevate relevant questions or concerns to senior analysts or management as appropriate.
- 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.
- Ability to interpret and reconcile regulatory rules with proposed advertising materials.
- 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
Benefits
Comp & perks- 🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account Dayforce Website LinkedIn All Job Openings 5001 - 10000 employees 👥 HR Tech ☁️ SaaS 💰 $1G Post-IPO Debt - Dayforce on 2024-03 HR Tech
- SaaS Dayforce is a cloud-based human capital management (HCM) platform (part of Ceridian) that provides payroll, workforce management (time & attendance), HR, benefits administration, and talent management as an integrated SaaS solution. It is used by employers to streamline workforce processes, run payroll, manage compliance, and gain real-time HR and payroll insights across mid-market and enterprise organizations. Advertising Compliance Analyst Job not on LinkedIn 🔥 7 minutes ago 🌵 Arizona, Texas – Remote ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
- Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting 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.
- Participate in the training and mentorship of Advertising Compliance Analysts.
- Collaborate effectively with financial professionals, product partners, outside broker-dealers, RIAs, agents, advertising agencies, and PR firms.
- Assist in training internal teams and field staff on advertising processes, systems, and regulations.
- Elevate relevant questions or concerns to senior analysts or management as appropriate.
- 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
- 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.
- Ability to interpret and reconcile regulatory rules with proposed advertising materials.
- 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 Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Analyst – Regulatory Compliance 🔥 1 hour ago Circular Action Alliance 11 - 50 🍽️ Food & Beverage 🏭 Manufacturing 📦 Logistics Website LinkedIn All Job Openings Regulatory Compliance Analyst for National Program Operations Team. Supporting California SB 54 implementation and ensuring compliance with regulatory requirements. 🇺🇸 United States – Remote 💵 $63k - $83k / year ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Compliance Manager – Virtual Care System 🔥 4 hours ago PreBorn! 51 - 200 🤝 Non-profit 🤲 Charity 🏥 Healthcare Website LinkedIn All Job Openings Compliance Manager overseeing coding and compliance for PreBorn's Virtual Care System. Leading risk management efforts while advancing maternal health outcomes for high-risk populations. 🇺🇸 United States – Remote 💵 $75k - $80k / year ⏰ Full Time 🟠 Senior 🔴 Lead 🚔 Compliance Senior Director, Global Regulatory Strategy Lead – FDA Regulatory SME 🔥 7 hours ago AbbVie 10,000+ employees 🏥 Healthcare 💼 Consulting 🏭 Manufacturing Website LinkedIn All Job Openings Senior Director responsible for global regulatory strategy and FDA compliance at AbbVie. Overseeing product development and providing expert regulatory guidance across therapeutic areas. 🇺🇸 United States – Remote 💵 $206.5k - $393k / year ⏰ Full Time 🟠 Senior 🚔 Compliance 🦅 H1B Visa Sponsor Compliance Analyst 🔥 7 hours ago Quorum Health 1001 - 5000 🏥 Healthcare 👥 B2C Website LinkedIn All Job Openings Compliance Analyst supporting Quorum Health's Compliance and Privacy Program through auditing and investigations. Ensuring compliance with laws, policy initiatives, and training. 🇺🇸 United States – Remote ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance Senior Leader, U.S. Trade Compliance Program 🔥 9 hours ago ABB 10,000+ employees 💼 Consulting 📦 Logistics 🚗 Transport Website LinkedIn All Job Openings Senior Leader U.S. Trade Compliance Program overseeing trade risks and policies at ABB. Support and lead compliance strategies ensuring adherence to U.S. trade regulations and practices. 🇺🇸 United States – Remote 💵 $119k - $190.4k / year 💰 $545.9M Post-IPO Debt - ABB on 2023-11 ⏰ Full Time 🟠 Senior 🚔 Compliance View More Compliance Jobs 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Is Remote Rocketship legit? Privacy policy Terms of service Job board SEO course Remote Job Search MasterClass AI Apply Copilot OpenClaw job finder Find jobs using your resume Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs