Social Media Compliance Analyst

We are looking for an experienced compliance and regulatory specialist to support a Financial Services organization in Minneapolis, MN. This contract-to-hire role is entirely remote, and focuses on interpreting regulatory expectations for field social media activity and helping the business maintain effective controls, sound processes, and clear risk-based guidance. The ideal candidate will bring strong analytical judgment, research skills, and the ability to translate detailed requirements into practical recommendations for business partners and leadership.

RESPONSIBILITIES:

• Review, evaluate, and supervise social media activities and marketing communications generated by financial advisors for FINRA and SEC compliance.
• Conduct regulatory research, interpret rules and industry guidance, and translate findings into practical supervisory controls and procedures.
• Identify compliance deficiencies, deliver constructive feedback to field representatives, and drive corrective actions.
• Execute compliance testing, monitoring, and oversight activities across digital communication channels.
• Consult with legal, marketing, and business leaders to support strategic growth while mitigating regulatory exposure.

REQUIREMENTS:

• 3 plus years of direct compliance, regulatory risk, or supervisory principal experience in a broker-dealer or RIA environment.
• Bachelor degree or equivalent industry experience.
• Thorough understanding of retail communication regulations (including FINRA Rule 2210) and electronic communications record-keeping rules.
• Proven track record of translating complex regulatory requirements into clear, actionable business guidance.

Candidates must hold active FINRA registrations to be considered:

• FINRA Series 24 (General Securities Principal)
• FINRA Series 7 (General Securities Representative)
• FINRA Series 63, 65, or 66

NICHE EXPERTISE:

• Broker-dealer or wealth management compliance experience focused on advisor communications, marketing compliance, and social media supervision under FINRA and SEC rules.
• Direct hands-on experience utilizing communications supervision and archiving platforms such as Hearsay, Global Relay, or Yext.