Advertising Analyst

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🔥 7 minutes ago

🌵 Arizona, Texas – Remote

🌵 Arizona – Remote 🤠 Texas – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🧐 Analyst

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Dayforce

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

👥 HR Tech

☁️ SaaS

🏢 Enterprise

💰 $1G Post-IPO Debt - Dayforce on 2024-03

HR Tech • SaaS • Enterprise

Dayforce is a cloud-based human capital management (HCM) platform from Ceridian. It provides integrated payroll, HR, workforce management, benefits administration, talent management, scheduling, and related employee lifecycle services in a single SaaS solution. Dayforce is designed for employers and HR/people-operations teams to handle payroll processing, time and attendance, workforce optimization, and compliance in a unified enterprise system.

📋 Description

• Lead with Purpose. Partner with Impact. • The position will be operated within a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. • This position reports to the Director of Advertising Compliance. • The individual is responsible for reviewing advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives. • 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. • Assist in training 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. • Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment.

🎯 Requirements

• 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.