Compliance Advertising Senior Analyst

4 weeks ago


Jersey City, United States AJ Consultancy Full time
About the job
Summary

The Advertising Compliance Senior Analyst - Advisory reviews, edits, advises, and verifies the final copy in accordance with all appropriate marketing rules and regulations promulgated under FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended).

Essential Duties And Responsibilities


  • Reviews advisory communications intended to be distributed to members of the public for consistency with SEC and FINRA regulations, Firm policies and procedures, and Firm image.
  • Marks and communicates required changes to the materials or offers possible alternative materials, when available, if submitted materials are not approvable.
  • Answers questions from firms Broker-Dealer and investment advisory affiliates, financial advisors, branch managers, and others pertaining to the submitted materials and required changes, as needed.
  • Verifies that changes indicated have been made upon resubmission or remarks changes still to be made.
  • Approves or denies materials for firns Broker-Dealer and investment advisory affiliates, financial advisors, branch managers, and any other designated individual in the branch or home office.
  • Helps maintain communications through proprietary in-house systems as needed to ensure accurate documentation and availability of information.
  • Actively pursues gaining additional knowledge and licenses to fully respond to material submissions
  • Interacts regularly with the senior management, flagging issues as they arise, to optimize review timeliness.

Qualifications

  • Strong knowledge of Marketing rules codified in FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended) - including historical rules, no-action letters, and all new rules.
  • Strong understanding of SEC investment advisory rules/regulations, industry practices, and application of the same to the firm's business model.
  • Ability to communicate complex regulatory concepts clearly and concisely.
  • Ability to manage multiple priorities with tight deadlines.
  • Ability to understand industry regulations, especially concerning communication with the public.
  • Knowledge of media production, communication, and dissemination techniques and methods, including alternative ways to inform and entertain via written, oral, and visual media.

Education And Experience

  • Minimum Required: Bachelor's Degree in a related field or equivalent experience.
  • Minimum Required: 3+ years of experience in Broker Dealer or Investment advisor.
Licenses and Credentials
  • FINRA Series 65 or 66 is a plus or the ability to obtain.
Systems and Technology
  • Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.


  • Jersey City, New Jersey, United States AJ Consultancy Full time

    Position OverviewSummaryThe Senior Analyst of Advertising Compliance at AJ Consultancy is responsible for reviewing, editing, advising, and ensuring the final content aligns with all relevant marketing regulations and standards as set forth by FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended).Key ResponsibilitiesEvaluates advisory...


  • Jersey City, New Jersey, United States Citigroup Inc Full time

    Job SummaryCitigroup Inc. is seeking a highly skilled Senior Compliance Risk Analyst to join its Trade Surveillance team within the Independent Compliance Risk Management (ICRM) department. As a key member of the team, you will be responsible for designing, implementing, and overseeing a suite of surveillance systems to detect potential regulatory rule...


  • Jersey City, New Jersey, United States MetaOption LLC Full time

    Key Competencies: Risk Assessment, Compliance Oversight, Operational Enhancements: Team Collaboration, Effective Communication SkillsProfessional Background: Mid-senior Level Experience: 5 Years Educational Requirement: Bachelor's Degree Job Function: Information Technology Relocation Analyst, Business Operations, Regulatory Affairs, Technology Management,...


  • Jersey City, New Jersey, United States Citigroup Inc Full time

    Job SummaryCitigroup Inc. is seeking a highly skilled Senior Compliance Risk Analyst to join our Independent Compliance Risk Management (ICRM) team. As a key member of our Trade Surveillance team, you will be responsible for designing, implementing, and overseeing a suite of surveillance systems to detect behaviors that may violate regulatory rules or...


  • Jersey City, New Jersey, United States MetaOption LLC Full time

    Position Overview: As a Sanctions Analyst at MetaOption LLC, you will play a crucial role in ensuring adherence to regulatory standards and managing risk effectively.Key Responsibilities: - Conduct thorough risk assessments and evaluations to identify potential compliance issues. - Collaborate with cross-functional teams to enhance compliance processes and...


  • Jersey City, New Jersey, United States MetaOption, LLC Full time

    Job OverviewPosition: Compliance Risk AnalystEssential Skills: Risk Assessment, Regulatory Adherence, Process Optimization, Team Collaboration, Effective CommunicationExperience Level: Mid-SeniorRequired Experience: 5 YearsEducational Background: Bachelor's DegreeJob Function: Information TechnologyRelocation Assistance: Not AvailableLocation: Hybrid Work...


  • Oklahoma City, Oklahoma, United States Alight Full time

    Alight Inc, a leading organization in Payroll & Professional Services, is currently evaluating candidates for a vital role within their Tax Administration team. This position is associated with the newly established Payroll & Professional Services under HIG Capital.Position Title: Senior Tax Compliance AnalystAs the Senior Tax Compliance Analyst, you will be...


  • Oklahoma City, Oklahoma, United States Alight Full time

    Alight Inc group company is currently evaluating your application for a role within their Payroll & Professional Services division. This position will be integrated with the newly established Payroll & Professional Services under HIG Capital following the separation from Alight. By submitting your application, you consent to the sharing of your information...


  • Jersey City, New Jersey, United States MetaOption LLC Full time

    Sanctions AnalystKey Skills: Risk Management, Regulatory Compliance, Process Optimization, Team Collaboration, Effective CommunicationExperience Level: Mid-seniorExperience Required: 5 YearsEducation Level: Bachelor's DegreeJob Function: Information TechnologyRelocation Assistance: NoJob Location: Hybrid - 3 Days a Week OnsiteJob OverviewEvaluate current...


  • Jersey City, New Jersey, United States MetaOption LLC Full time

    Sanctions AnalystKey Skills: Risk Management, Regulatory Compliance, Process Enhancement, Team Collaboration, Effective CommunicationExperience Level: Mid-seniorExperience Required: 5 YearsEducation Level: Bachelor's DegreeJob Function: Information TechnologyRelocation Assistance: NoJob Location: Hybrid - 3 Days a Week OnsiteJob OverviewEvaluate current...


  • Jersey City, United States SageSure Full time

    Overview: If you're looking for the stability of a profitable, growing company with the entrepreneurial spirit of a startup, we're hiring. SageSure, a leader in catastrophe-exposed property insurance, is seeking a Senior Analyst, Rates Compliance & Controls. This position will be focused on rates testing for our Personal Lines property insurance products....


  • Jersey City, New Jersey, United States Organon Full time

    About the RoleWe are seeking a highly experienced and skilled Executive Director, Group Head, Advertising and Promotion Oversight to join our team at Organon. This is a critical leadership role that will require a deep understanding of regulatory compliance and strategic planning.Key ResponsibilitiesLead a team of regulatory compliance specialists...


  • Jersey City, New Jersey, United States Avance Consulting Full time

    Job OverviewPosition Title: Senior Business AnalystLocation: Remote (Candidates from local areas preferred)Role SummaryEssential Qualifications:Experienced Business Analysts (6-8 years of experience)Industry Focus - Capital Markets and Risk Management6-8 years of experience as a Business Analyst, with proficiency in both traditional BA roles and Product...


  • Jersey City, New Jersey, United States CHUBB Full time

    Senior Claims Analyst - TPA Oversight - Major Accounts - Moderate About The Chubb Career Opportunity The Chubb Senior Claims Analyst - TPA Oversight position operates on a hybrid work schedule (3 days in office, 2 days remote). Overview This role is centered on the technical management of claims for Chubb's insured clients across the nation....


  • Jersey City, New Jersey, United States CHUBB Full time

    Senior Claims Analyst - TPA Oversight - Major Accounts - Moderate Overview of the Opportunity at Chubb The Senior Claims Analyst - TPA Oversight role is designed for a hybrid work environment, allowing for a combination of in-office and remote work. Position Summary This position is centered around the technical management of claims for Chubb...


  • Jersey City, New Jersey, United States CHUBB Full time

    Senior Claims Analyst - TPA Oversight - Major Accounts - Moderate Overview of the Chubb Opportunity The Senior Claims Analyst - TPA Oversight role operates under a hybrid work model, combining in-office and remote work. Position Summary This position is dedicated to the technical management of claims for Chubb's insured clients across the...


  • Jersey City, New Jersey, United States Trandon Associates, Inc Full time

    Job OverviewThe Senior Analyst for Commercial Loan Review will be responsible for the thorough assessment and analysis of Multifamily and Commercial Real Estate (CRE) mortgage portfolios and loans utilized as collateral by affiliated banks. This role entails a comprehensive examination of loan documentation, including appraisal reports, property income and...


  • Jersey City, New Jersey, United States Citigroup Inc Full time

    Company: Citigroup Inc.Position: Senior IT Business AnalystLocation: Jersey City, NJRole Overview: As a Senior IT Business Analyst, you will be instrumental in driving the integration of data from various systems into a unified repository, ensuring compliance with regulatory and industry standards.Key Responsibilities:Lead the identification and...


  • Kansas City, United States Burns & McDonnell Full time

    **Description** The Senior IT Compliance Analyst is responsible for ensuring that the company's IT systems and processes comply with all relevant regulations and standards. This role will perform audit, risk assessments, and compliance reviews to identify potential issues and work with IT leadership to implement solutions that mitigate risk. The Senior IT...


  • Jersey City, New Jersey, United States Expedient Staffing Solutions Full time

    Job OverviewPosition Summary:We are looking for a meticulous Tax Compliance Analyst to join our team on a contractual basis, with the possibility of transitioning to a permanent role. This position focuses on managing year-end tax reporting responsibilities, particularly concerning 1099 and 1042S forms, while also contributing to the enhancement of our...