Compliance Analyst

Position Type: Full Time

The basic functions of this role include reviewing, editing, and approving both representative-generated and corporate-generated advertisements and sales literature to ensure compliance with NASD & SEC rules, state insurance regulations and firm compliance policies.

Requirements
seeking candidates with strong reading and comprehension skills and a soft touch. Candidates must be extremely customer service oriented and be willing to go above and beyond to service the needs of our representatives. Candidates must be able to communicate effectively and tactfully with numerous individuals and departments as required. Candidates must be able to work independently with limited supervision.
Current Series 7 required, 24 preferred. 1+ year in advertising compliance is preferred. In-depth knowledge of variable products, broker-dealer products, and financial planning. Environment is fast paced – deadline sensitive. Job will require effective exercise of judgment under time constraints. Excellent interpersonal skills required. Please contact Tami Erickson at tami.erickson@roberthalf.com or 602-224-0551

Founded in 1948, Robert Half Finance & Accounting pioneered financial recruitment and today is the worldwide leader in the field. We specialize in placing experienced professionals in accounting, finance, credit and collections, bookkeeping, payroll, and taxation. Throughout our 55-year history, we have developed lasting relationships with the industry-leading companies we serve, which gives us access to the best career opportunities for our candidates. Robert Half Finance & Accounting is a division of specialized staffing leader Robert Half International (NYSE: RHI), an S&P 500 firm. Robert Half Finance & Accounting offers online job search services at www.roberthalf.com.

Robert Half Finance & Accounting is an Equal Opportunity Employer