[Remote] Advertising and Supervision Analyst

Note: The job is a remote job and is open to candidates in USA. Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals. The Advertising and Supervision Analyst role involves reviewing advertising and correspondence, ensuring compliance with regulatory requirements, and collaborating with financial professionals and regulatory bodies.ResponsibilitiesProvide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policiesContribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulatorsSupport the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communicationsResponsible for the supervisory review of written and electronic correspondenceResponsible for the supervisory review of outside business activities (OBA)Participate in the training and mentorship of Advertising Compliance AnalystsCollaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firmsAssist in training internal teams and field staff on advertising processes, systems, and regulationsElevate relevant questions or concerns to senior analysts or management as appropriateFile advertising and communications with FINRA as requiredConduct regulatory research as neededDemonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitmentSkillsBachelor's Degree preferredMinimum 5 years industry experienceConsistent delivery of excellent customer serviceStrong understanding of digital marketing trends, content strategy, and social media use in financial servicesExperience working within a dual-registrant environment (broker-dealer and RIA)Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertisingIn-depth familiarity with FINRA and SEC advertising/communications regulationsAbility to interpret and reconcile regulatory rules with proposed advertising materialsStrong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructivelyExercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environmentUnderstanding of securities and insurance products, as well as investment advisory servicesFINRA Series 7 License requiredFINRA Series 24 License requiredSeries 66 within 3 months of hireBenefits401(k)Health insuranceCompetitive benefits packageOpportunities for training, development, and long-term growth within the firmTuition reimbursement for qualified expensesCompany OverviewKestra Financial provides a leading independent advisor platform. It was founded in 1996, and is headquartered in Austin, Texas, USA, with a workforce of 201-500 employees. Its website is http://www.kestrafinancial.com/.