Marketing Compliance Analyst

A financial services organization is seeking an experienced compliance professional to support the review and approval of marketing, advertising, and client communications materials across institutional and retail business channels. This role will serve as a key member of the marketing compliance function, helping ensure promotional content complies with regulatory requirements, industry standards, and internal policies. The successful candidate will work closely with Marketing, Sales, Product, Legal, and Compliance teams to review a broad range of communications while supporting efficient business execution and maintaining a strong control environment.

RESPONSIBILITIES

Marketing & Advertising Review Review marketing materials, sales presentations, client communications, advertising campaigns, and promotional content for regulatory compliance and accuracy. Evaluate performance‑related materials, disclosures, and supporting documentation to ensure adherence to applicable requirements. Review digital content including websites, social media communications, email campaigns, and thought leadership publications. Ensure marketing and advertising materials align with internal policies, regulatory standards, and disclosure requirements. Compliance Advisory & Business Partnership Provide day‑to‑day compliance guidance to marketing, sales, and business stakeholders regarding communications‑related requirements. Assist business partners in addressing compliance comments and resolving routine review questions. Identify potential regulatory concerns and recommend appropriate revisions to submitted materials. Escalate complex or high‑risk matters to senior compliance leadership for further review and guidance. Workflow & Documentation Management Manage review queues and approval workflows to support timely completion of marketing review requests. Maintain accurate records of reviewed materials and approvals in accordance with recordkeeping requirements. Track submissions, approvals, escalations, and supporting documentation using compliance workflow tools. Support operational efficiency initiatives within the marketing review process. Audit, Governance & Program Support Assist with internal audits, regulatory reviews, and compliance examinations involving marketing and communications activities. Support maintenance of policies, procedures, and governance standards related to marketing compliance. Monitor regulatory developments impacting advertising and client communications practices. Participate in training and awareness initiatives supporting compliance obligations across the organization.

QUALIFICATIONS

3+ years of experience in Marketing Compliance, Advertising Review, Communications Compliance, Regulatory Review, or a related financial services function. Active Series 7 license required. Ability to obtain additional supervisory licensing if required. Strong understanding of financial services marketing and communications compliance requirements. Excellent attention to detail and strong organizational skills. Strong written and verbal communication abilities. Proven ability to build relationships and collaborate effectively with cross‑functional stakeholders.

PREFERRED EXPERIENCE

Bachelor's degree in Business, Finance, Law, Communications, Marketing, or a related field. Experience reviewing advertising and marketing materials within broker‑dealer, wealth management, asset management, or investment advisory environments. Knowledge of SEC and FINRA communications and advertising requirements. Familiarity with investment adviser and investment company regulatory frameworks. Experience supporting digital marketing reviews, including websites, social media, and electronic communications. Experience using compliance workflow, advertising review, or content governance platforms. Series 24 license or ability to obtain within a defined period. What This Role Offers Opportunity to support both institutional and retail business channels. Exposure to a broad range of marketing, advertising, and digital communications activities. Direct partnership with Marketing, Sales, Legal, Product, and Compliance stakeholders. Involvement in regulatory governance, communications oversight, and compliance program enhancement. Strong career growth opportunities within marketing compliance, communications review, and regulatory advisory functions. #J-18808-Ljbffr Madison-Davis