Sr. Compliance Analyst

Job Description

Job Description

Position: Sr. Compliance Analyst

Reports to: Chief Compliance Officer (CCO)

Department: Compliance (Securities)

Location: 1512 El Camino Real, San Diego, CA 92130

Classification: Full-Exempt, Exempt

 

Summary / Job Objective: The Sr. Compliance Analyst supports a Registered Investment Adviser (RIA) and Broker-Dealer by leading the review and approval of marketing and advertising materials to ensure compliance with SEC, FINRA, and applicable insurance regulations. This role partners with advisors and marketing teams to enable compliant growth across wealth management and insurance platforms and is responsible for building and managing the firm’s marketing compliance function.

 

Primary Responsibilities:

· Lead and manage the marketing compliance review program across advisory, brokerage, and insurance communications.

· Build, train, and manage a marketing compliance team as the business grows.

· Oversee review and approval of marketing materials, including websites, social media, presentations, emails, and insurance sales content.

· Ensure compliance with the SEC Marketing Rule, FINRA Rule 2210, and state insurance advertising standards.

· Review testimonials, endorsements, performance, hypothetical performance, and insurance marketing materials.

· Serve as a compliance resource to advisors and marketing teams.

· Maintain advertising review workflows and records.

· Support regulatory exams and remediation related to marketing communications.

Qualifications:

· Bachelor’s degree in Finance, Business, Marketing, Compliance, Insurance, or related field.

· 3+ years of experience in marketing/advertising compliance within an RIA, Broker-Dealer, insurance agency, or dual registrant.

· Experience reviewing advisory, brokerage, and insurance marketing materials (annuities, life, LTC, etc.).

Core Competencies:

· Working knowledge of SEC Marketing Rule and FINRA Rule 2210.

· Strong written and verbal communication skills.

· Experience with Red Oak and/or ComplySci is a plus.

Compensation & Benefits:

Compensation (based on experience)

• Annual salary: $85,000 to $95,000; exempt
• Annual performance bonus target: 10%

 

Benefits

• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off
• Paid parking

 

Location : 11512 El Camino Real, San Diego, CA 92130; this is an in-office position

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.

Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.

For more information, please visit simplicitygroup.com.

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.\r\n\r\nThrough its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,200 employees and 90 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.\r\n\r\nFor more information, please visit simplicitygroup.com.