Advertising Compliance Analyst

Are you passionate about upholding integrity and ensuring clear, compliant communication in the dynamic world of financial services? Kestra Financial is seeking a detail-oriented Advertising Compliance Analyst to join our team. This fully remote, worldwide opportunity empowers you to play a crucial role in supporting our independent financial professionals, making sure their client outreach is not only impactful but also meets the highest regulatory standards. If you thrive on precision and enjoy providing tailored solutions, we invite you to help us lead with purpose.

Overview: Kestra Financial

Kestra Financial stands as a premier wealth management platform, dedicated to empowering independent financial professionals across the globe. We provide innovative business management technology and personalized consulting, enabling traditional and hybrid RIAs to significantly grow their practices and deliver outstanding client experiences. Our culture champions innovation and advocacy, ensuring advisors can offer a comprehensive suite of securities and investment advisory solutions. This role is absolutely vital in supporting the marketing and communication efforts of these professionals, guiding them through a complex landscape of regulatory requirements. As an Advertising Compliance Analyst, you'll be instrumental in reviewing diverse materials, from print and digital campaigns to social media content and seminar presentations, ensuring everything adheres to stringent industry standards. This is a fully remote position, open to talented individuals worldwide, offering you the flexibility to contribute from wherever you are.

Key Responsibilities

Review a wide array of marketing and communication materials submitted by financial professionals, including advertisements, brochures, social media posts, websites, and presentation materials.
Provide expert, tailored compliance guidance and solutions to financial professionals, ensuring all communications meet applicable regulatory standards set by FINRA, SEC, and other relevant bodies.
Collaborate closely with financial professionals to understand their marketing objectives and help them craft compliant yet effective messaging.
Maintain meticulous, accurate, and comprehensive records of all reviews, approvals, and communications in accordance with regulatory requirements and internal policies.
Stay continuously informed about evolving industry regulations, compliance best practices, and new marketing trends within the financial services sector.
Identify potential compliance risks in marketing initiatives and proactively offer preventative strategies.
Contribute to the development and refinement of compliance procedures and training materials for financial professionals.

Requirements

To excel in this role, you should possess a keen eye for detail and a strong understanding of financial services regulations. While the original description is brief on specific requirements, a successful candidate will likely demonstrate these qualities:

Demonstrated experience in financial services compliance, particularly with advertising and marketing review.
Solid knowledge of FINRA, SEC, and state securities regulations related to financial advisor communications.
Exceptional analytical and problem-solving abilities to identify potential compliance issues and propose practical solutions.
Outstanding written and verbal communication skills, with the ability to clearly explain complex regulatory concepts to diverse audiences.
High level of organization and meticulous attention to detail for record-keeping and document management.
Ability to work independently and manage multiple review projects simultaneously in a fast-paced environment.
A commitment to continuous learning regarding new regulations and industry best practices.

What You'll Gain

Joining Kestra Financial as an Advertising Compliance Analyst means more than just a job; it’s an opportunity to significantly impact the success and integrity of independent financial advisors. You will:

Work with a leading wealth management platform known for innovation and advisor advocacy.
Play a pivotal role in ensuring regulatory adherence, directly contributing to the trust and credibility of financial professionals.
Develop deep expertise in a dynamic area of financial services compliance.
Enjoy the flexibility and autonomy of a fully remote, global position, collaborating with a supportive team.
Contribute to a company culture that values purpose, partnership, and impactful support.
Access opportunities for professional growth and continuous learning in a rapidly evolving industry.