[Remote] Marketing Regulatory Review Analyst
Note: The job is a remote job and is open to candidates in USA. Yoh, A Day & Zimmermann Company is a leading staffing firm, and they are seeking a Marketing Regulatory Review Analyst. This role involves evaluating marketing materials for compliance with FINRA and SEC regulations, providing guidance for approval, and consulting with internal partners and advisors.
Responsibilities
- Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval
- Content reviews will range from stationery, websites, announcement letters, designations, titles, educational credentials, third party awards and more as needed
- Consult with internal partners and potentially advisors on their marketing materials
- Assist with data collection and intake of marketing materials as needed for principal review
- Other tasks and projects as assigned
Skills
- Must have hands-on experience performing social media reviews and working within the Proofpoint platform
- Series 7 and 24 are required
- Must have performed redline day to day regulatory reviews of marketing content by applying FINRA 2210 and SEC regulations (preferably on advisor created content)
- 3+ years of prior financial services specifically with advertising/marketing compliance review experience applying FINRA 2210 to advisor created content
- Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions
- Strong knowledge of FINRA 2210, SEC, and State rules and regulations related to communications with the public
- Licensing Requirement: Series 7, 24
- Working knowledge of Smartsheet, Excel, Word, PowerPoint, Adobe Pro and BOX Excellent customer service skills and the ability to communicate effectively with individuals at various levels
- Reviewed marketing within FMG, Snappy Kraken and Emerald/Broadridge
Benefits
- Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
- Health Savings Account (HSA) (for employees working 20+ hours per week)
- Life & Disability Insurance (for employees working 20+ hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Company Overview