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

• 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