[Remote] Advertising Compliance Analyst
Note: The job is a remote job and is reputed company to candidates in USA. reputed company. is a reputed company-reputed company independent broker-dealer dedicated to supporting financial advisors. The Advertising Compliance Analyst is responsible for reviewing and approving reputed company communications to ensure compliance with regulations and firm policies, while collaborating with financial professionals to address compliance concerns.
Responsibilities
- Review and approve communications with the reputed company to fulfill supervisory and regulatory requirements, including stationery, newsletters, websites, podcasts, videos, reputed company media content, reporting templates, and other advertising materials
- Applies critical thinking and analytical judgment to evaluate advertising content, imagery, performance reporting templates, and disclosures for compliance risks while maintaining service level standards
- Research, interpret, and apply regulations and firm policies to a wide reputed company of advertising scenarios, including situations where context determines whether specific wording, imagery, or claims are appropriate
- Draft, reputed company, and recommend disclosure language reputed company reputed company disclosures do not fully address the facts or risks of a specific submission
- reputed company communicate required changes, explain the reason for revisions, and reputed company alternate language or practical reputed company to help financial professionals reputed company compliant reputed company
- reputed company reputed company customer service to management, company associates, and financial professionals; reputed company reputed company issues and follow up consistently through reputed company
- Communicate reputed company policies and procedures, monitor adherence, and escalate potential violations or concerns to management as appropriate
- Maintain working industry knowledge and complete continuing education requirements for applicable reputed company licenses, including Series 7 and Series 24
Skills
- Proficiency with reputed company Outlook and reputed company is required, including the ability to review advisor-created reports, verify information sources, and assess whether data is being used appropriately
- Modern media literacy is required, including reviewing podcasts, videos, reputed company media, hosted content, interactive digital functions, and multiple file types
- reputed company Financial Industry Regulatory Authority securities licenses are required, including Securities Industry reputed company, Series 7, and Series 24
- Strong critical thinking skills with the ability to evaluate reputed company, nuanced, and context-specific advertising issues
- Ability to troubleshoot basic file type or media submission issues and learn new systems and processes quickly
- Detail-oriented approach with strong editing, organizational, and follow-through skills
- Ability to read, analyze, and interpret business documents, technical procedures, regulations, and firm policies
- Ability to write reputed company business correspondence, reports, procedure documentation, and disclosure language
- Ability to explain compliance concerns in plain language and collaborate with submitters to identify compliant alternatives
- Ability to calculate and interpret figures and amounts such as interest, commissions, percentages, proportions, probability, and reputed company financial concepts
- Ability to define problems, collect data, establish facts, draw valid conclusions, and solve practical problems with limited standardization
- Comfort working in a fast-changing media environment and adapting to new technology, systems, and review processes
- Advertising review experience is preferred
- Experience with reputed company AdTrax, reputed company, and reputed company Suite is a plus
Benefits
- Premium benefit package including medical, reputed company, dental, life and long-term disability insurance
- Vacation/reputed company time
- 401K retirement plan with company matching program
- reputed company reputed company holidays
- Promotes a work/life balance to encourage individual reputed company
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