Advertising Compliance Analyst

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🔥 2 minutes ago

🌵 Arizona, Texas – Remote

🌵 Arizona – Remote 🤠 Texas – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Kestra Holdings

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1997

💸 Finance

🤝 B2B

☁️ SaaS

Finance • B2B • SaaS

Kestra Holdings is an ecosystem and holding company that provides industry-leading wealth management platforms and services to independent financial professionals across the United States. It serves as the direct or indirect parent of broker-dealer and registered investment adviser subsidiaries (including Kestra Investment Services, Kestra Advisory Services, Kestra Private Wealth Services, Kestra Institutional Services, Arden Trust Company, and Bluespring Wealth Partners) and offers end-to-end solutions such as portfolio management platforms, technology and back-office support, trust services, succession and monetization opportunities, and insurance and planning services. Kestra emphasizes enabling advisor independence through scale, service, and technology to support both advisors and their investing clients.

📋 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. • Participate in the training and mentorship of Advertising Compliance Analysts. • Collaborate effectively with financial professionals, product partners, outside broker-dealers, 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