Archived listing. The details below describe a past opening.
We are looking for a Sr. Compliance Analyst to support marketing and customer communication reviews for financial products in San Francisco, California. This Long-term Contract opportunity is ideal for a compliance specialist who can evaluate promotional content, identify regulatory risk, and provide practical guidance to cross-functional teams. The role will focus on maintaining strong advertising compliance standards, strengthening review processes, and helping the business respond effectively to evolving regulatory expectations.
Responsibilities:
- Assess marketing collateral and promotional content for financial products to confirm disclosures, pricing details, fee information, and benefit statements align with applicable regulatory standards.
- Work closely with partners across Marketing, Legal, Product, and Risk to surface compliance concerns early and advise on acceptable approaches during campaign planning and launch.
- Examine customer-facing messages and outreach materials to ensure disclosure language, consent practices, opt-out options, and advertising requirements are addressed before release.
- Conduct targeted testing, quality reviews, and scheduled audits of campaigns and communications to detect control weaknesses and recommend corrective measures.
- Research potential compliance incidents, document conclusions thoroughly, and coordinate with business teams to drive timely resolution plans.
- Maintain organized records of reviews, approvals, supporting evidence, and audit documentation to prepare for internal assessments and regulatory inquiries.
- Track changes in regulations and industry guidance, then translate those developments into updates for policies, procedures, and training resources.
- Contribute to compliance frameworks by supporting risk assessments, procedural enhancements, and educational initiatives that reinforce sound marketing practices.
- Prepare summaries, metrics, and risk reports for leadership to support decision-making and continuous improvement efforts.
- Experience in compliance, regulatory review, or risk oversight within financial services.
- Working knowledge of advertising compliance requirements, customer communication standards, and disclosure expectations for financial products.
- Ability to interpret regulatory guidance and apply it effectively to marketing materials and business processes.
- Strong analytical skills with experience performing reviews, audits, or testing to identify compliance gaps and control issues.
- Proficiency in Excel, including the use of formulas for analysis, tracking, and reporting.
- Familiarity with AML and BSA concepts and their relevance within a regulated financial environment.
- Understanding of loan underwriting processes and related compliance considerations.
- Strong written communication and documentation skills with the ability to present findings clearly to stakeholders.