[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 global staffing company that has been connecting professionals with opportunities for over 65 years. They are seeking a Marketing Regulatory Review Analyst who will evaluate marketing materials and provide guidance on compliance with regulations. The role involves consulting with internal partners and assisting with the review of marketing content to ensure adherence to regulatory standards.

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

Company H1B Sponsorship