Senior Compliance Analyst - Advertising Review

This is a Fully Remote Job About Our Client: The organization operates within the financial services industry, focusing on providing independent retail brokerage and investment advisory services. It addresses challenges related to delivering objective financial advice to individuals, families, and company retirement plans through a broad network of trusted financial advisors and institutions. The organization supports a large network nationwide, offering wealth management platforms, advisory services, practice management support, and innovative technology. About the Opportunity: The SENIOR COMPLIANCE ANALYST - ADVERTISING REVIEW ensures that all retail communications comply with relevant laws, firm policies, and regulatory requirements such as those from FINRA and the SEC. This role is key to maintaining the integrity and compliance of advertising content, thereby protecting the organization and supporting its operational standards. The analyst works collaboratively with the team to review, explain, and enforce compliance, contributing to consistent application of policies. Responsibilities: Review retail communications for compliance with laws, firm policies, and regulations Provide clear explanations for any required changes to submitters Ensure reviews meet record retention standards Research policy questions using firm manuals and resources Promote consistency in compliance reviews Assist in maintaining internal compliance materials Understand and manage workflow processes with different vendors Collaborate with other analysts to complete assignments Complete tasks within specified service level agreements Perform other duties as assigned Requirements: Bachelor’s degree or equivalent experience Minimum five years of experience in advertising compliance Series 7, 24, and 63 FINRA registrations Working knowledge of life insurance and annuity products General understanding of advanced marketing concepts Strong organizational skills Effective written and verbal communication skills Ability to manage high volumes under tight deadlines Pay Range and Compensation Package: Base annual salary range of $85,000 to $100,000 plus a competitive performance-based bonus Benefits & Perks: Inclusive health, dental, vision, and life insurance plans Mental health benefits accessible to employees and their families Over 20 days of paid time off, paid holidays, and two paid wellness days 401(k) savings plan with up to 5% company contribution and financial planning support Paid parental leave for birth, adoption, and fostering Health Savings and Flexible Spending Account options Employee Assistance Program, identity theft protection, pet insurance, and other voluntary benefits Paid caregiver leave Equal Opportunity Statement: Our client is an equal opportunity employer. They celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, or national origin. Note: TalentHop is a recruitment partner of this role. Please note that all employment decisions, including candidate assessment, interviews, hiring, compensation, and employment terms, are made exclusively by the hiring employer.