Advertising Compliance Analyst

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🔥 21 minutes ago

🌵 Arizona, Texas – Remote

🌵 Arizona – Remote 🤠 Texas – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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Dayforce

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

👥 HR Tech

☁️ SaaS

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

HR Tech • SaaS

Dayforce is a cloud-based human capital management (HCM) platform (part of Ceridian) that provides payroll, workforce management (time & attendance), HR, benefits administration, and talent management as an integrated SaaS solution. It is used by employers to streamline workforce processes, run payroll, manage compliance, and gain real-time HR and payroll insights across mid-market and enterprise organizations.

📋 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