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    Compliance Analyst - San Diego, United States - Hamlyn Williams

    Hamlyn Williams
    Hamlyn Williams San Diego, United States

    2 weeks ago

    Default job background
    Banking / Loans
    Description

    Our Advertising Compliance team is tasked with evaluating all client-facing materials authored by our staff, advisors, and external sources to ensure their fairness and accuracy. In this role, you will utilize your FINRA Series 7 and 24 securities registrations and customer service skills to meticulously assess advertising submissions. You will serve as a reliable resource, offering guidance to advisors and internal personnel on relevant regulations, policies, and procedures.

    Responsibilities:

    • Evaluate and authorize advertising materials and correspondence from representatives.
    • Assess and approve representatives' websites and social media profiles.
    • Provide training and support to representatives on advertising and marketing content.
    • Monitor advertising performance metrics to enhance efficiency.
    • Prepare responses for regulatory inquiries and audits concerning advertising practices.
    • Maintain and revise advertising-related policies and procedures.

    Qualifications:

    • At least 3 years of Compliance or financial services experience.
    • Background in advertising review.
    • Series 7 license is required.
    • Series 24 license is preferred; obtainable within 90 days of employment.
    • Series 63 license is preferred; obtainable within 90 days of employment.
    • Series 66 or 65 license(s) is preferred; obtainable within 90 days of employment.
    • Bachelor's degree.

    *Company will pay full Medical, Dental, and Vision for not only yourself, but your family as well*

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