Advertising Compliance Analyst

Job Summary

The Advertising Compliance Analyst works under the direction of Compliance leadership to review and approve communications with the public, ensuring advertising materials comply with applicable regulations, firm policies, and supervisory requirements. This role requires strong critical thinking, sound judgment, attention to detail, and the ability to evaluate nuanced situations that may not have a simple black‑and‑white answer. The Analyst partners with financial professionals and internal associates to identify compliance concerns, recommend appropriate revisions, and support clear, compliant communications across traditional and modern media channels.

Responsibilities include reviewing and approving communications such as stationery, newsletters, websites, podcasts, videos, social media content, reporting templates, and other advertising materials; applying critical thinking and analytical judgment to evaluate advertising content, imagery, performance reporting templates, and disclosures for compliance risks while maintaining service level standards; researching, interpreting, and applying regulations and firm policies to a wide variety of advertising scenarios;

drafting, tailoring, and recommending disclosure language when standard disclosures do not fully address the facts or risks; clearly communicating required changes, explaining the reason for revisions, and providing alternate language or practical options; providing responsive customer service; tracking open issues; monitoring adherence to internal and external policies; and maintaining working industry knowledge and completing continuing education requirements for applicable FINRA licenses, including Series 7 and Series 24.

• Advertising review experience is preferred.
• Experience with Reg Ed AdTrax, Smarsh, and FMG Suite is a plus.
• Proficiency with Microsoft Outlook and Excel is required, including the ability to review advisor‑created reports, verify information sources, and assess whether data is being used appropriately.
• Modern media literacy is required, including reviewing podcasts, videos, social media, hosted content, interactive digital functions, and multiple file types.

• Active Financial Industry Regulatory Authority securities licenses are required, including Securities Industry Essentials, Series 7, and Series 24.

• Strong critical thinking skills with the ability to evaluate complex, nuanced, and context‑specific advertising issues.
• Ability to troubleshoot basic file type or media submission issues and learn new systems and processes quickly.
• Detail‑oriented approach with strong editing, organizational, and follow‑through skills.
• Ability to read, analyze, and interpret business documents, technical procedures, regulations, and firm policies.
• Ability to write clear business correspondence, reports, procedure documentation, and disclosure language.
• Ability to explain compliance concerns in plain language and collaborate with submitters to identify compliant alternatives.
• Ability to calculate and interpret figures and amounts such as interest, commissions, percentages, proportions, probability, and related financial concepts.
• Ability to define problems, collect data, establish facts, draw valid conclusions, and solve practical problems with limited standardization.
• Comfort working in a fast‑changing media environment and adapting to new technology, systems, and review processes.

Phoenix, AZ, or Fairfield, IA – Hybrid in‑office 3 days/week.

• Premium benefit package including medical, vision, dental, life and long‑term disability insurance.
• Vacation/sick time.
• 401(k) retirement plan with company matching program.
• Eleven paid holidays.