Advertising Review Compliance Analyst/Senior Analyst/Specialist

• Provide subject matter expertise in review of sales literature, marketing materials and communications to ensure compliance with regulatory requirements and policies
• Independence/ownership of review queue
• Files materials with FINRA, as applicable
• Partners closely with Advertising Review team to align on risk tolerance and consistency in reviews
• Provide guidance to Marketing and other business partners with respect to the preparation and distribution of marketing and advertising materials
• Identifies, researches and resolves issues and feedback from business partners independently
• Lead or assist in the maintenance and development of advertising review policies, procedures and other process controls
• Lead or assist in researching and responding to comments and/or inquiries received from state insurance departments, FINRA, the SEC and internal oversight functions

• Attention to detail & critical thinking skills
• experience making risk-based decisions
• Strong written communication skills
• Bachelor’s degree or equivalent work experience required
• Series 7 & 24 required or the ability to obtain within 180 days of employment
• 2-3 years’ experience preferred: Advertising compliance, Investment company and adviser regulatory requirements (SEC Marketing Rule, Investment Company Act of 1940)
• In-depth knowledge of relevant rules and regulations
• Utilization of artificial intelligence tools and resources (e.g. generative AI)
• legally authorized to work in the U.S. and will not require immigration sponsorship for visa status now or in the future

Utilization of artificial intelligence tools and resources (e.g. generative AI)

• a choice of comprehensive medical, dental and vision plan options, health savings account, tuition reimbursement, student loan retirement plan, generous annual paid leave, an outstanding 401(k) company match, and life insurance
• award-winning campus with an array of discounted amenities, including an onsite health center, child development center, fitness facility, convenience store and two cafeterias
• Employee Resource Groups