Phaxis
Advertising Compliance Analyst
Phaxis, Clifton Park, New York, United States, 12065
Advertising Compliance Analyst
FINTECH/Broker Dealer
Jersey City, NJ location-4 days a week in house
$90-120 base-GREAT BENEFITS
The Positions a Digital Advertising Compliance Analyst, you'll be responsible for ensuring retail communications comply with applicable regulations and internal standards in a fast-paced, dynamic environment. This position will also have responsibilities associated with communication audit functions and in recommending enhancements to the overall workflows of the advertising submission process. Your expertise will be integral to providing compliance yet compelling communications with the public.
What you do
Review retail communications against applicable laws, firm's policies as well as Client and SEC regulationsbility to provide clear and concise explanations for required changes to retail communications to the submitterComplete assignments within the service level agreement timeframesServe as the lead analyst for social media surveillanceConduct post reviews of internal or external communications to identify potential red flags or risks to the firmssist in the review and enhancements the departmental policies and proceduresParticipate in regulatory and internal exams as neededssist in ad hoc tasks and/or projects upon requestWhat you offer
Bachelor's degree preferred, or equivalent combination of education, training, and experienceClient Series 7 & 24 required; Series 4 required (or ability to complete within 3 months)2+ years of industry experience, preferably working in compliance within a broker-dealer with an emphasis on advertising/marketing complianceMust be fluent in English and ChineseExperience with Red Oak and Smarsh is a plusStrong interpersonal and written communication skillsHighly motivated with capability to work with minimum supervisionbility to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential
FINTECH/Broker Dealer
Jersey City, NJ location-4 days a week in house
$90-120 base-GREAT BENEFITS
The Positions a Digital Advertising Compliance Analyst, you'll be responsible for ensuring retail communications comply with applicable regulations and internal standards in a fast-paced, dynamic environment. This position will also have responsibilities associated with communication audit functions and in recommending enhancements to the overall workflows of the advertising submission process. Your expertise will be integral to providing compliance yet compelling communications with the public.
What you do
Review retail communications against applicable laws, firm's policies as well as Client and SEC regulationsbility to provide clear and concise explanations for required changes to retail communications to the submitterComplete assignments within the service level agreement timeframesServe as the lead analyst for social media surveillanceConduct post reviews of internal or external communications to identify potential red flags or risks to the firmssist in the review and enhancements the departmental policies and proceduresParticipate in regulatory and internal exams as neededssist in ad hoc tasks and/or projects upon requestWhat you offer
Bachelor's degree preferred, or equivalent combination of education, training, and experienceClient Series 7 & 24 required; Series 4 required (or ability to complete within 3 months)2+ years of industry experience, preferably working in compliance within a broker-dealer with an emphasis on advertising/marketing complianceMust be fluent in English and ChineseExperience with Red Oak and Smarsh is a plusStrong interpersonal and written communication skillsHighly motivated with capability to work with minimum supervisionbility to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential