Advertising Analyst

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🔥 6 minutes ago

🌵 Arizona, Texas – Remote

🌵 Arizona – Remote 🤠 Texas – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🧐 Analyst

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Kestra Holdings

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1997

💸 Finance

💳 Fintech

🤝 B2B

Finance • Fintech • B2B

Kestra Holdings is an ecosystem of financial firms that provides industry-leading wealth management platforms and support services to independent financial professionals across the U. S. The company offers end-to-end wealth management solutions including investment and portfolio management, technology platforms, succession and monetization services, trust services, insurance and planning services, and back-office support. Kestra is the parent company of broker-dealer and registered investment adviser entities (e. g. , Kestra Investment Services, Kestra Advisory Services, Kestra Private Wealth Services, Kestra Institutional Services) and other affiliated firms such as Arden Trust Company and Bluespring Wealth Partners. Founded in 1997, Kestra emphasizes independence for advisors, scale and service for advisors and their clients, and a technology-enabled ecosystem for growth, succession, and operational support.

📋 Description

• 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. • FINRA Series 7 License required • FINRA Series 24 License required • Series 66 within 3 months of hire.