Digital Advertising Marketing Analyst

Responsibilities

• Advertising and retail communications review
• Review and, within assigned authority, approve retail communications, including digital advertisements, websites, mobile applications, social media content, email campaigns, promotional materials, and other investor-facing communications
• Evaluate communications against FINRA Rule 2210, applicable SEC requirements, state regulations, firm policies, and relevant product-specific advertising standards
• Identify misleading, exaggerated, promissory, or insufficiently substantiated statements, as well as deficiencies in disclosures, risk presentations, performance claims, and comparisons
• Provide clear, actionable feedback to Marketing and business stakeholders while maintaining regulatory independence
• Maintain accurate documentation of reviews, decisions, approvals, and supporting evidence
• Surveillance and risk monitoring
• Conduct risk-based surveillance of firm-sponsored social media and other public communications
• Perform retrospective reviews to identify potential violations, unauthorized communications, and emerging compliance risks
• Document findings, escalate material concerns, and monitor remediation through closure

Requirements

• Must hold active FINRA Series 7 and Series 24 licenses at the time of hire. FINRA Series 4 is preferred; if not currently held, the candidate must obtain the Series 4 license within six (6) months of the date of hire. Licensing requirements are subject to the position's specific supervisory responsibilities
• 3-5 years of relevant broker-dealer compliance experience, including direct responsibility for advertising or retail communications review
• Working knowledge of FINRA Rule 2210 and applicable SEC communications requirements
• Demonstrated experience evaluating digital marketing content, social media communications, disclosures, and promotional claims
• Experience documenting compliance decisions, communicating required revisions, and escalating regulatory concerns
• Ability to manage competing priorities and make sound compliance decisions in a deadline-driven environment

Preferred

• Bilingual - Mandarin speaking
• Experience supporting retail brokerage, crypto firm, online trading, self-directed investing, options, or other investment products
• Hands-on experience with Red Oak, Smarsh, or comparable advertising review and communications surveillance tools
• Experience supporting regulatory examinations, advertising audits, and WSP enhancements
• Familiarity with mobile-app advertising, influencer campaigns, paid digital advertising, and emerging marketing channels
• Experience recommending workflow automation and measurable process improvements

Benefits

• What We Offer: - Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents - 401k Employer Contribution: We match your contributions to help you grow your retirement savings - Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy - Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work - Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $100,000 - $120,000 . This role is also eligible to participate in our discretionary bonus plan.