Advertising Compliance Specialist

About the Role They will also work closely with marketing, sales, and product groups to provide guidance on compliance matters and develop innovative solutions to complex problems. Key Responsibilities: • Providing timely reviews of advertising, marketing materials, and communications • Acting as subject matter expert on regulatory guidelines, including FINRA, SEC, NAIC, and individual states • DIRECTING and enhancing organizational initiatives, process improvements, and innovative efficiencies • Completing timely filing of materials with FINRA and state agencies • Collaborating with marketing, sales, and product groups to provide guidance on compliance matters • Providing training opportunities to foster knowledge sharing on compliance topics • Adding value by getting ahead of potential issues • Establishing and maintaining relationships within the firm and FINRA regulator • Identifying complex risks and developing remediation plans • Providing effective communication with internal and external stakeholders • Preparing and communicating complex compliance alerts and communications Anticipated pay for new hires between the minimum and midpoint of the range. Pay is based on non-discriminatory factors, including but not limited to work experience, education, location, licensure requirements, proficiency, and qualifications required for the role.