Compliance/Advertising Review Analyst

The Compliance/Advertising Review Specialist will review and approve all marketing material, correspondence, and other public communication from home office employees as well as Registered Representatives in the field. Responsible for in-depth analysis of all marketing and correspondence activity conducted by Registered Representatives and internal employees, as well as respond to the customer service needs of the Financial Consultant population commensurate with Associated Securities Corp.'s dedication to service.  Responsible for reviewing a variety of marketing materials including, but not limited to: flyers, newsletters, articles, post cards, radio spots, statement inserts, invitations, web sites, business cards, stationary, internal materials, client proposals, presentations, and correspondence. Review marketing materials and either facilitate correction or approve on a 24 to 48 hour turnaround time frame.  Facilitate education of Communication Compliance Guidelines among home office employees, bank employees, and Financial Consultants in the field.  Research and resolution of regulatory advertising matters on an as needed basis. This may include state securities or insurance research, inquiries to FINRA, SEC, and FRB or outside counsel regarding laws and rules.  Interpret relevant Communication guidelines and make informed decisions on the stance ASC will take in regard to these. Maintain database and archive of approved materials. Must have 2+ years of experience, and will want to work in a positive, team-oriented environment while responding to the advertising and correspondence regulatory needs of the firm  Series 7 and 24 licenses are required  Must have excellent written and verbal communication skills Must be highly motivated team player with a strong work ethic  This high-energy person must have a "can do" approach to all tasks  This person will have the ability to apply a consultative approach when working with other departments and Registered Representatives  This individual will play a key role in keeping Associated Securities Corp. compliant with applicable FINRA, SEC, and state securities regulations regarding advertising, sales literature, and correspondence We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE LPL is an equal opportunity employer and in accordance with state and federal laws, will not descriminate against any employee or applicant for employment on the basis of race, gender, sexual orientation, color, national origin, ancestry, religion, age, disability, handicap or veteran status. Position Title: Compliance/Advertising Review Analyst Location: US-CA-El Segundo Job Category: Accounting/Finance/Insurance Career Level: Experienced (Non-Manager)