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Marketing and Advertising Compliance Analyst

  • Full Time, onsite
  • Phaxis
  • New York City Metropolitan Area, United States of America
Salary undisclosed

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Growing fintech retail broker dealer is seeking a marketing and advertising specialist to join their compliance team.

Key Responsibilities:

  • Analyze and review retail communications to ensure compliance with Client, SEC, and internal policies, providing concise explanations for any required changes.
  • Complete compliance reviews and assignments within the specified service level agreement timeframes.
  • Serve as the primary analyst for social media compliance, identifying potential risks or regulatory issues.
  • Conduct post-reviews of internal and external communications, identifying potential red flags or risks to the firm.
  • Assist in the development and refinement of departmental policies and procedures to improve workflow efficiency.

Qualifications:

  • Bachelor's degree preferred or equivalent combination of education, training, and experience.
  • Client Series 7, 4, and 24 required.
  • 3+ years of experience, preferably in compliance within a broker-dealer environment, with a focus on advertising/marketing compliance.