We are looking for an experienced Sr. Compliance Analyst to support marketing and customer communications oversight for financial products in San Francisco, California. This Long-term Contract position focuses on helping the business deliver accurate, compliant messaging while partnering closely with cross-functional teams to reduce regulatory risk. The ideal candidate brings strong knowledge of financial services compliance and can translate regulatory expectations into practical guidance, documentation, and reporting.
Responsibilities:
- Evaluate marketing and promotional materials for financial products to confirm disclosures, pricing details, fee information, and claims align with applicable regulatory standards.
- Collaborate with Marketing, Legal, Product, and Risk partners to identify potential compliance concerns and advise teams during campaign planning, review, and launch activities.
- Assess customer-facing communications before release to ensure consent language, opt-out instructions, required notices, and advertising expectations are properly addressed.
- Conduct compliance testing, quality checks, and periodic reviews of campaigns and related materials to detect gaps and recommend corrective measures.
- Research potential compliance issues, document observations clearly, and work with stakeholders to drive timely remediation and issue resolution.
- Maintain organized records of reviews, approvals, supporting evidence, and audit documentation for internal oversight and regulatory examinations.
- Track changes in regulatory requirements and industry guidance, then recommend updates to policies, procedures, and training content as needed.
- Contribute to compliance program enhancements by supporting risk assessments, procedural development, and employee education across marketing and acquisition functions.
- Prepare summaries, metrics, and presentations for management to communicate findings, highlight risk trends, and support process improvements.
- Experience in compliance, regulatory review, or risk management within financial services.
- Working knowledge of advertising compliance requirements, customer communications review, and disclosure standards for financial products.
- Ability to interpret regulations and provide practical guidance to cross-functional business teams.
- Experience with compliance testing, audit support, issue tracking, and remediation documentation.
- Proficiency in Excel, including the use of formulas for analysis, tracking, and reporting.
- Familiarity with compliance frameworks related to AML and BSA obligations.
- Understanding of lending or loan underwriting processes is preferred.
- Strong written communication, documentation, and presentation skills with close attention to detail.