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United States
Remote only
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Compliance Analyst – Advertising Review based in the United States.
The Senior Compliance Analyst – Advertising Review plays a key role in ensuring that retail communications meet applicable regulatory requirements, internal policies, and industry standards. In this remote position, you will review advertising and marketing materials, identify compliance risks, and provide clear, actionable feedback to support accurate and compliant communications. You will apply your knowledge of FINRA and SEC regulations, firm policies, and insurance products to help maintain high-quality review standards. Working closely with submitters and fellow compliance analysts, you will contribute to consistent review practices, effective documentation, and timely completion of assignments. This opportunity is ideal for an experienced compliance professional who thrives in a detail-oriented environment, manages competing priorities effectively, and is committed to maintaining strong regulatory standards.
Review retail communications and advertising materials for compliance with applicable laws, regulations, internal policies, and FINRA and SEC requirements.
Communicate required revisions to submitters clearly, accurately, and concisely, explaining the rationale behind compliance decisions.
Ensure reviews and related documentation meet applicable record-retention requirements.
Research regulatory and policy questions using internal manuals, reference materials, and other relevant resources.
Maintain consistency and quality across reviews while applying established compliance standards.
Support the development and maintenance of internal compliance manuals, reference guides, and other resources.
Understand and follow workflow processes associated with different vendors and submission channels.
Collaborate with other analysts to complete assignments, share knowledge, and support team objectives.
Manage a high volume of submissions while meeting established service-level agreements and deadlines.
Perform additional compliance-related duties as needed.
Bachelor’s degree or equivalent relevant professional experience.
At least five years of relevant experience in advertising compliance.
Required FINRA registrations: Series 7, Series 24, and Series 63.
Working knowledge of life insurance and annuity products.
General understanding of advanced marketing concepts and retail communications.
Strong written and verbal communication skills, including the ability to explain complex compliance requirements clearly.
Excellent organizational skills and strong attention to detail.
Ability to prioritize competing assignments, manage high workloads, and meet tight deadlines without compromising review quality.
A collaborative mindset, sound judgment, and commitment to consistent application of policies and regulatory standards.
Competitive compensation: Annual base salary ranging from $85,000 to $100,000, plus a performance-based bonus. Final compensation depends on experience, skills, certifications, and geographic location.
Comprehensive insurance: Health, dental, vision, and life insurance coverage designed to support employees and their families.
Mental health support: Access to mental health benefits and an Employee Assistance Program (EAP).
Paid time off: More than 20 days of paid time off, paid holidays, and two paid wellness days.
Retirement planning: 401(k) savings plan with employer contributions of up to 5%, along with access to a financial professional.
Family support: Paid parental leave for birth, adoption, and fostering, as well as paid caregiver leave.
Flexible savings options: Health Savings Accounts (HSAs) and Flexible Spending Accounts (FSAs) to help manage eligible healthcare, childcare, commuting, and other expenses.
Additional protection and voluntary benefits: Identity theft protection through LifeLock, pet insurance, and other optional benefits.
Remote work: A remote position offering flexibility in where you work within the United States, subject to role and location requirements.
