Sr. Compliance Analyst

Position:            Sr. Compliance Analyst

Reports to:        Chief Compliance Officer (CCO)

Department:     Compliance (Securities)

Location:           1512 El Camino Real, San Diego, CA 92130

Classification:   Full-Exempt, Exempt

Summary / Job Objective: The Sr. Compliance Analyst supports a Registered Investment Adviser (RIA) and Broker-Dealer by leading the review and approval of marketing and advertising materials to ensure compliance with SEC, FINRA, and applicable insurance regulations. This role partners with advisors and marketing teams to enable compliant growth across wealth management and insurance platforms and is responsible for building and managing the firm’s marketing compliance function.

Primary Responsibilities:

·       Lead and manage the marketing compliance review program across advisory, brokerage, and insurance communications.

·       Build, train, and manage a marketing compliance team as the business grows.

·       Oversee review and approval of marketing materials, including websites, social media, presentations, emails, and insurance sales content.

·       Ensure compliance with the SEC Marketing Rule, FINRA Rule 2210, and state insurance advertising standards.

·       Review testimonials, endorsements, performance, hypothetical performance, and insurance marketing materials.

·       Serve as a compliance resource to advisors and marketing teams.

·       Maintain advertising review workflows and records.

·       Support regulatory exams and remediation related to marketing communications.

Qualifications:

·       Bachelor’s degree in Finance, Business, Marketing, Compliance, Insurance, or related field.

·       3+ years of experience in marketing/advertising compliance within an RIA, Broker-Dealer, insurance agency, or dual registrant.

·       Experience reviewing advisory, brokerage, and insurance marketing materials (annuities, life, LTC, etc.).

Core Competencies:

·       Working knowledge of SEC Marketing Rule and FINRA Rule 2210.

·       Strong written and verbal communication skills.

·       Experience with Red Oak and/or ComplySci is a plus.

Compensation & Benefits:

Compensation (based on experience)

• Annual salary: $85,000 to $95,000; exempt
• Annual performance bonus target:  10%

Benefits

• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off
• Paid parking

Location:  11512 El Camino Real, San Diego, CA 92130; this is an in-office position