Senior Compliance Analyst (Hybrid): 25-00196
$156,000–$166,400 year
Remote · Newport Beach, California, United States or New York City, New York, United States
Newport Beach, California, United States or New York City, New York, United StatesRemoteFull Time$156,000–$166,400 yearMid LevelBachelors DegreeUnknown
Type
Full Time
Level
Mid Level
Education
Bachelors Degree
Company size
Unknown
Job Summary
The Senior Compliance Analyst role is a hybrid position focused on reviewing marketing and sales materials for compliance within financial services. This position involves collaborating with various departments to ensure regulatory adherence and designing compliance training for stakeholders.
Required Qualifications
- Bachelor's degree required
- Minimum 5 years of compliance experience within financial services or insurance industries
- Series 6 and 26 FINRA licenses required (or ability to obtain)
- Excellent written and verbal communication skills
- Strong leadership and interpersonal skills
- Proficiency with Microsoft Office, SharePoint, and MS Teams
- Experience working in an agile environment
- Strong problem-solving and analytical skills
Desired Qualifications
- Knowledge of state regulatory requirements related to sales and marketing preferred
- Prior experience in life insurance or annuity compliance strongly preferred
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