Compliance Analyst

Compliance Analyst (Digital Advertising Review)Jersey City, NJ $100K - $135K Hybrid (4 days in office)SERIES 7, Series 24, Series 4 Needed!GREAT BENEFITS-401K MatchUnlimited PTOBONUSAs a Compliance Analyst (Digital Advertising), you'll be responsible for ensuring retail communications comply with applicable regulations and internal standards in a fast-paced, dynamic environment. This position will also have responsibilities associated with communication audit functions and in recommending enhancements to the overall workflows of the advertising submission process. Your expertise will be integral to providing compliance yet compelling communications with the public.ResponsibilitiesReview of retail communications against applicable laws, firm's policies as well as FINRA and SEC regulationsAbility to provide clear and concise explanations for required changes to retail communications to the submitterComplete assignments within the service level agreement timeframesServe as an analyst for social media surveillanceConduct post reviews of internal or external communications to identify potential red flags or risks to the firmAssist in the review and enhancements of departmental policies and proceduresParticipate in regulatory and internal exams as neededAssist in ad hoc tasks andor projects upon requestQualificationsBachelor's degree preferred, or equivalent combination of education, training, and experienceFINRA Series 7, 4 & 24 required; applicants who do not possess these licenses will not be considered3+ years of industry experience, preferably working in compliance within a broker-dealer with an emphasis on advertisingmarketing complianceMust be fluent in EnglishWillingness to travel overseas up to 3 times annuallyExperience with Red Oak and Smarsh is a plusStrong interpersonal and written communication skills

Created: 2024-10-27