Sr. Compliance Analyst
Not Disclosed•Full-TimeOn-site
location_onBig Bully Turf, 350, Front Street, Banker's Hill, San Diego, San Diego County, California, 92101, United States
About the Company
Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings ("Simplicity Group") is a financial holding company in the independent financial services sector, specializing in the distribution of retirement and financial planning solutions. Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group partners with insurance and investment professionals to help provide consumers with guaranteed income, life insurance products, wealth accumulation strategies, and long-term care protection.
As a fast-growing business focused on organic growth initiatives, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and manages $10 billion in assets under management and advisement as of Q4 2024. The company employs over 1,200 people across 90 operating subsidiaries and is owned by leading San Francisco-based financial and tech-enabled services private equity firms alongside its operating Partners.
About the Role
This position supports a Registered Investment Adviser (RIA) and Broker-Dealer by leading the review and approval of marketing and advertising materials to ensure compliance with SEC, FINRA, and applicable insurance regulations. The Senior Compliance Analyst partners with advisors and marketing teams to enable compliant growth across wealth management and insurance platforms.
In this role, you will build and manage the firm's marketing compliance function, overseeing the review of websites, social media, presentations, emails, and insurance sales content. You will serve as a key compliance resource to the business, ensuring adherence to the SEC Marketing Rule, FINRA Rule 2210, and state insurance advertising standards. As the business grows, you will also be responsible for building, training, and managing a marketing compliance team.
Location and Work Model
This is an in-office position located at 1512 El Camino Real, San Diego, CA 92130. The role reports directly to the Chief Compliance Officer within the Compliance (Securities) department.
Equal Opportunity Employer
Simplicity Group is an equal opportunity employer committed to building a diverse and inclusive workforce. We consider qualified applicants regardless of background, race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or veteran status.
Work location
Work model: On-site
Big Bully Turf, 350, Front Street, Banker's Hill, San Diego, San Diego County, California, 92101, United States
San Diego, California
Key Responsibilities
- check_circleLead and manage the marketing compliance review program across advisory, brokerage, and insurance communications
- check_circleBuild, train, and manage a marketing compliance team as the business grows
- check_circleOversee review and approval of marketing materials including websites, social media, presentations, and emails
- check_circleEnsure compliance with SEC Marketing Rule, FINRA Rule 2210, and state insurance advertising standards
- check_circleServe as a compliance resource to advisors and marketing teams to enable compliant growth
- check_circleSupport regulatory exams and remediation efforts related to marketing communications
- check_circleReview testimonials, endorsements, performance data, and insurance sales content for regulatory adherence
- check_circleMaintain advertising review workflows and records for audit readiness
Requirements
- verifiedBachelor's degree in Finance, Business, Marketing, Compliance, Insurance, or related field
- verified3+ years of experience in marketing/advertising compliance within an RIA, Broker-Dealer, insurance agency, or dual registrant
- verifiedExperience reviewing advisory, brokerage, and insurance marketing materials
- verifiedWorking knowledge of SEC Marketing Rule and FINRA Rule 2210
Nice to Have
Experience with Red Oak and/or ComplySci.
Benefits & Perks
check_circleMedical, dental, vision, and life insurancecheck_circle401k with employer matchcheck_circlePaid Time Offcheck_circlePaid parking
Similar Job Opportunities
Skills, education and keywords
Skills: Sec Marketing Rule, Finra Rule 2210, Red Oak, Complysci.
Education: Bachelor's degree in Finance, Business, Marketing, Compliance, Insurance, or related field required.
Frequently asked questions about Sr. Compliance Analyst at Simplicity Group
What does a Sr. Compliance Analyst at Simplicity Group do?expand_more
In this Sr. Compliance Analyst at Simplicity Group role, you will lead and manage the marketing compliance review program across advisory, brokerage, and insurance communications; build, train, and manage a marketing compliance team as the business grows; oversee review and approval of marketing materials including websites, social media, presentations, and emails; and ensure compliance with sec marketing rule, finra rule 2210, and state insurance advertising standards.
What are the requirements for this Sr. Compliance Analyst role?expand_more
To qualify for the Sr. Compliance Analyst at Simplicity Group position, applicants should have: Bachelor's degree in Finance, Business, Marketing, Compliance, Insurance, or related field; 3+ years of experience in marketing/advertising compliance within an RIA, Broker-Dealer, insurance agency, or dual registrant; Experience reviewing advisory, brokerage, and insurance marketing materials; and Working knowledge of SEC Marketing Rule and FINRA Rule 2210.
Where is the Sr. Compliance Analyst role at Simplicity Group located?expand_more
Sr. Compliance Analyst at Simplicity Group is based in Big Bully Turf, 350, Front Street, Banker's Hill, San Diego, San Diego County, California, 92101, United States. This is a on-site role.
Is this Sr. Compliance Analyst job remote, hybrid, or on-site?expand_more
Simplicity Group has listed this Sr. Compliance Analyst role as on-site.
How much experience is required for this Sr. Compliance Analyst role?expand_more
Sr. Compliance Analyst at Simplicity Group typically requires 3+ years of relevant experience at the senior level.
What skills do you need for the Sr. Compliance Analyst role at Simplicity Group?expand_more
Key skills for Sr. Compliance Analyst at Simplicity Group include Sec Marketing Rule; Finra Rule 2210; Red Oak; and Complysci.
What education is required for Sr. Compliance Analyst at Simplicity Group?expand_more
Educational requirements for this role: Bachelor's degree in Finance, Business, Marketing, Compliance, Insurance, or related field required.
What category does the Sr. Compliance Analyst role belong to?expand_more
Sr. Compliance Analyst at Simplicity Group is part of the accounting & finance job category on Recrutus.
About Simplicity Group
Simplicity Group operates within the financial services industry, headquartered in Summit, New Jersey. The organization delivers a comprehensive suite of products and services designed for financial professionals and their clients across every phase of life. Guided by principles of education, value, and partnership, the firm supports a holistic approach to financial planning and management.
The company partners with advisors, agents, broker-dealers, and financial institutions to provide proprietary products and operational support. Key service areas include guaranteed income solutions, life insurance, wealth management, and long-term care planning. To facilitate business growth for its partners, Simplicity Group offers dedicated sales and marketing resources alongside specialized training programs. These initiatives are structured to help partners consistently expand their operations while effectively serving their client base.
Browse more roles: All Simplicity Group jobs, accounting & finance jobs on Recrutus.