Advertising Analyst

Be a part of the team behind our success!  At Advisor Group, we support more than 7,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Compliance Risk Opportunity in Financial Services

Advertising Analyst


Location:               20 E. Thomas Rd, Suite 2000, Phoenix, AZ  85012

                                2300 Windy Ridge Parkway #750, Atlanta, GA  30339

                                7755 Third St. North, Oakdale, MN  55128

                                10 Exchange Place, Suite 1410, Jersey City, NJ  07302

                                877 Executive Center Drive West, Suite 33, St. Petersburg, FL  33702

Summary:

Imagine the excitement of working for a billion-dollar startup company with a strong revenue flow and a client base that goes back 60+ years.  Our employees are the “how” and the “why” of Advisor Group’s success.  The Advertising Analyst reviews retail communications and other external and internal communications to ensure compliance with applicable SEC and FINRA rules and internal policies.  This position will manage a specific regional territory developing and maintaining relationships with the financial advisors in the region.

Our Advertising Analyst will assist with compliance projects including, but not limited to: participation in regulatory examinations, corporate marketing, providing guidance and reviews to transitioning advisors, reviewing professional designations, conducting due diligence on proposed third party marketing vendors, managing the pre-approved advertising library for the firm, reviewing new product sales literature, and report and document unapproved advertising.

Keys:      ad review, compliance, suitability

Responsibilities:

  • Apply SEC and FINRA advertising regulations applicable to communications with the public.
  • Serve as a subject matter expert to financial advisors on matters pertaining to advertising compliance.  Assist internal business partners to understand and comply with advertising laws, rules and regulations.   
  • Interact with management and other supervisory/compliance personnel on escalated issues to ensure marketing materials are compliant with advertising requirements and industry best practices.
  • Maintain effective working relationships with areas across the organization as well as with regulators. Submit filings to FINRA as required. 
  • Maintain quality customer relations with emphasis on service, quality and support of business objectives.
  • Work independently to ensure department deadlines are met and service levels are maintained.
  • All other duties as assigned
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • FINRA Series 7 and 24 (or S8 or S9/10) required, 63/66 or 65 preferred
  • 2 + years’ experience in a principal capacity
  • Basic understanding of FINRA and SEC rules regarding communications with the public in order to effectively review items concerning securities and investment advisory services. 
  • Understanding of financial products (variable products, mutual funds, alternative investments, etc.) and mainstream investment strategies used by financial advisors. 
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
  • Excellent analytical and problem-solving skills
  • Ability to work in a time-sensitive environment and provide client support during extended hours as needed.    
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors with their marketing efforts.
  • Ability to read and interpret documents including firm policy and procedures and FINRA and SEC regulatory documents.

Preferred Requirements:

  • FINRA Series 63/66 or 65 preferred.
  • 2+ years’ ad review experience is preferred.
  • Experience at an independent broker-dealer is preferred.