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
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