FINRA Licensed Compliance Analyst
To ensure compliance with state and federal regulations, the full-time remote FINRA Licensed Compliance Analyst will review retail communication, assist in drafting compliance materials, and manage the subject matter expert review process.
Key responsibilities
- Review retail communication for compliance with applicable laws and regulations, and communicate necessary changes to stakeholders
- Assist in researching and drafting insurance and securities advertising materials, and correspond with regulatory bodies for clarification
- Maintain internal compliance materials and manage the review process to ensure consistency across the organization
Required qualifications
- Bachelor's degree or equivalent experience
- Three years of relevant compliance experience, preferably in advertising compliance
- Series 7, 24, and 63 FINRA registrations are required
- Working knowledge of life insurance and annuity products
- General knowledge of advanced marketing concepts
