Senior Compliance Analyst (Hybrid): 25-00196 in Newport Beach

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Job DescriptionJob Description

HYBRID – SENIOR COMPLIANCE ANALYST

Location; Newport Beach, CA (4 days on site)

JOB DESCRIPTION

The Marketing Compliance Analyst will play a key role in reviewing and approving marketing and sales materials, providing regulatory consultation, and developing compliant solutions that align with business objectives. This position partners across multiple departments to ensure adherence to internal policies and applicable regulations.

KEY RESPONDIBILITES

• Provide compliance guidance to business units by reviewing operational practices, procedures, and internal controls for compliance with company and regulatory standards.
• Review and analyze marketing and sales materials, complete required filings, and coordinate regulator audits and information requests.
• Collaborate with business partners to streamline the content creation process, ensuring materials are both engaging and compliant.
• Design, develop, and deliver compliance training for employees and external partners, including producers, suppliers, and vendors.
• Leverage automation tools to improve efficiency and accuracy within marketing and distribution compliance functions.
• Coordinate compliance activities across teams to share best practices and promote continuous improvement.

QUALIFICATIONS

• Bachelor's degree required.
• Minimum 5 years of compliance experience within financial services or insurance industries.
• Excellent written and verbal communication skills with a collaborative, professional demeanor.
• Strong leadership and interpersonal skills with the ability to make sound decisions and drive engagement.
• Proficiency with Microsoft Office, SharePoint, and MS Teams.
• Experience working in an agile environment and adapting to changing business needs.
• Strong problem-solving and analytical skills with the ability to develop new approaches using existing solutions.
• Ability to work independently while effectively collaborating with peers and cross-functional teams.
• Series 6 and 26 FINRA licenses required (or ability to obtain).
• Knowledge of state regulatory requirements related to sales and marketing .
• Prior experience in life insurance or annuity compliance strongly .

Company DescriptionPlatinum Resource Group is a professional level consulting firm, providing resources to Fortune 1000 client companies in the areas of technology, human resources, accounting, finance, business systems and supply chain, on a contract and interim basis. PRG has operations in Orange County, San Diego, Los Angeles and San Francisco. As a W-2 employer we offer our consultants direct deposit bi-weekly payroll, health, dental, vision benefits, and referral bonuses.Company DescriptionPlatinum Resource Group is a professional level consulting firm, providing resources to Fortune 1000 client companies in the areas of technology, human resources, accounting, finance, business systems and supply chain, on a contract and interim basis. PRG has operations in Orange County, San Diego, Los Angeles and San Francisco. As a W-2 employer we offer our consultants direct deposit bi-weekly payroll, health, dental, vision benefits, and referral bonuses.

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