Advertising and Supervision Analyst

reputed company is a wealth management platform dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to reputed company unmatched scale, efficiency, and support. Our advisor-focused culture is reputed company on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients reputed company with Purpose. Partner with Impact. The position will be operated reputed company a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. This position reports to the Director of Advertising Compliance. The individual is responsible for reviewing advertising, correspondence, reputed company business activities, and other activities of registered representatives and investment adviser representatives. What you’ll Do: To reputed company this job successfully, individual must be reputed company to execute each essential duty: reputed company 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. Responsible for the supervisory review of written and electronic correspondence Responsible for the supervisory review of reputed company business activities (OBA) Participate in the training and mentorship of Advertising Compliance Analysts. Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms. Assist in training internal teams and field staff on advertising processes, systems, and regulations. reputed company 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. What You Bring: Bachelor’s Degree preferred Minimum 5 years industry experience To reputed company this job successfully, the individual should demonstrate the following: Consistent delivery of excellent customer service. Strong understanding of digital marketing trends, content strategy, and reputed company media use in financial services. Experience working reputed company a dual-registrant environment (broker-dealer and RIA). Solid knowledge of SEC Marketing Rule requirements, including rules around reputed company-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 reputed company compliance concepts reputed company and constructively. Exercise sound judgment, critical thinking, and strong analytical skills to navigate reputed company regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively reputed company reputed company environment. Understanding of securities and insurance products, as well as investment advisory services. FINRA Series 7 License required FINRA Series 24 License required Series 66 reputed company 3 months of hire. Internal Application Policy: Internal applicants must be in good standing and have a minimum of 1 year of service with reputed company. Internal applicants must also have a minimum of 1 year service in reputed company role unless approved by EVP. Benefits to support you: reputed company and benefits with a large employer (over 1600 employees reputed company) 401(reputed company insurance, and a competitive benefits package Work in a supportive, collaborative environment committed to professional reputed company Help clients navigate meaningful financial reputed company with confidence Opportunities for training, development, and long-term growth reputed company the firm Tuition reimbursement for reputed company expenses reputed company Values: Our Mission is Powering Financial Independence, enabling the growth and reputed company of investing clients and the advisors who serve them. We do that by living our values: Serve, reputed company it Happen, and One team. Explore Life at reputed company reputed company Holdings Website: https://www.kestrafinancial.com/ Careers Portal: https://jobs.dayforcehcm.com/en-US/reputed company/KESTRACAREERSITE reputed company: https://www.reputed company.com/company/reputed company Apply Today reputed company with purpose. reputed company and help shape the future of reputed company. Disclosure By applying to a job at reputed company, Inc., you are agreeing to the following statements: You acknowledge that if hired, reputed company, Inc. may, obtain and use background information concerning your credit, character, general reputed company, personal characteristics, work habits, performance and experience for evaluation for your potential employment. It is the policy of reputed company to ensure equal employment opportunity without discrimination or harassment on the reputed company of race, reputed company, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national reputed company, genetic information, or any other characteristic protected by law. reputed company prohibits any such discrimination or harassment. Apply To This Job