Advertising and Supervision Analyst

What You’ll Do

• Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies.
• Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.
• Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.
• Responsible for the supervisory review of written and electronic correspondence.
• Responsible for the supervisory review of outside business activities (OBA).
• Participate in the training and mentorship of Advertising Compliance Analysts.
• Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.
• Aid in the training of internal teams and field staff on advertising processes, systems, and regulations.
• Elevate relevant questions or concerns to senior analysts or management as appropriate.
• File advertising and communications with FINRA as required.
• Conduct regulatory research as needed.

What You Bring

• Bachelor’s Degree preferred
• Minimum 5 years industry experience
• Consistent delivery of excellent customer service
• Strong understanding of digital marketing trends, content strategy, and social media use in financial services
• Experience working within a dual-registrant environment (broker-dealer and RIA)
• Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising
• In-depth familiarity with FINRA and SEC advertising/communications regulations
• Ability to interpret and reconcile regulatory rules with proposed advertising materials
• Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively
• Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment
• Understanding of securities and insurance products, as well as investment advisory services
• FINRA Series 7 License required
• FINRA Series 24 License required
• Series 66 within 3 months of hire

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

Kestra Values

• Serve
• Make it Happen
• One team