Compliance Officer – Business Analyst

• Own the end-to-end marketing content compliance review processes
• Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps
• Propose and own the roadmap for improvements, communicate compliance requirements and partner with technology and marketing teams to implement solutions
• Act as the primary compliance owner for marketing material review systems and related process decisions
• Manage issue resolution and escalation of issues
• Spearhead analysis of marketing content errors and assess the impact by reviewing web clicks, email campaigns, downloads and cashflows during error period
• Write reports with findings and remediations for senior and executive management
• Analyze regulatory requirement changes that impact marketing content and disclosures, provide content change requirements and oversee implementation
• Conduct testing and summarize observations, control gaps, process weaknesses, or compliance issues identified during testing
• Document remediation and ensure appropriate escalation
• Own reporting requirements and use metrics to identify risks, trends, and opportunities for improvement
• Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements

• Bachelor’s degree in business, economics, finance, law, or a related field
• 7 years of experience in financial services compliance, marketing compliance, or a heavily regulated advertising environment
• Strong familiarity with the SEC Marketing Rule and FINRA Advertisement regulations
• EMEA financial services regulatory knowledge (e.g., ESMA, MiFID) is a plus
• Proficiency in Microsoft Office suite
• Experience with compliance monitoring tools (e.g., Norm AI, Red Oak, Greenboard, Reg Ed, Saifr, Zeidler) and AI tools
• Ability to document business processes, translate complex requirements, and map out workflows
• Exceptional written communication skills to deliver thoughtful feedback and create documentation
• FINRA Series 7 or 24 licenses or ability to obtain within six months of starting
• Proactive, intellectually curious, analytical, and a collaborative team player
• Extremely detail-oriented with ability to manage competing priorities

Demonstrates expertise in marketing content compliance, regulatory analysis, and process improvement, with a strong focus on the SEC Marketing Rule and FINRA Advertisement regulations. Proficient in utilizing compliance monitoring tools and Microsoft Office to document processes and communicate findings effectively.

• Marketing Content Compliance
• Regulatory Analysis
• Compliance Monitoring ToolsSEC Marketing Rule Familiarity
• FINRA Series 7 or 24 Licenses

• Regulatory Requirement Analysis
• Process Improvement
• Workflow Mapping
• Data Analysis
• Report Writing

• Exceptional Written Communication
• Detail-Oriented
• Analytical Thinking
• Proactive Collaboration
• Ability to Manage Competing Priorities

• FINRA Series 7 License
• FINRA Series 24 License

• Financial Services Compliance
• EMEA Regulatory Knowledge
• Marketing Compliance
• Heavily Regulated Advertising
• Audit Trails

• Microsoft Office Suite
• Norm AI
• Red Oak
• Greenboard
• Reg Ed
• Saifr
• Zeidler