Senior Marketing Compliance Analyst — SEC/FINRA Reviews

Royal Bank of Canada; Boston (MA); On-site; USD 61,000 - 105,000; Full time

Benefits offered by this job

401(k) plan with company matching

Health, dental, vision, life insurance

Paid time off

Job summary

Royal Bank of Canada in Boston seeks a Senior Marketing Compliance Analyst to drive reviews of advertising, sales literature, and digital content for SEC/FINRA compliance. You will work under the Associate Director to ensure materials meet policy standards and regulatory requirements.

You will partner with marketing, sales, and legal teams, document findings, and support audits. The role focuses on timely reviews, escalation of high-risk issues, and maintaining robust workflows.

Qualifications

• 3+ years in marketing compliance, regulatory review, or related function within financial services.
• Series 7 required; able to obtain Series 24 within 90 days of hire.
• High ethical standards and meticulous attention to detail.
• Ability to build relationships with internal partners (marketing, sales, legal).

Responsibilities

• Review advertising, sales literature, marketing collateral, and digital properties for regulatory compliance.
• Prioritize and process compliance review requests to meet business needs.
• Apply SEC, FINRA, and Investment Act rules to ensure materials comply.
• Guide cross-functional teams with compliance feedback and routine matters.
• Document and retain materials for audits and regulatory reviews.
• Support audits by providing materials under supervision.

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Industry Knowledge

Internal Controls

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Education

BA/BS in Business, Finance, or Law

Tools

Compliance workflow tools

Job description

Royal Bank of Canada in Boston seeks a Senior Marketing Compliance Analyst to drive reviews of advertising, sales literature, and digital content for SEC/FINRA compliance. You will work under the Associate Director to ensure materials meet policy standards and regulatory requirements.

You will partner with marketing, sales, and legal teams, document findings, and support audits. The role focuses on timely reviews, escalation of high-risk issues, and maintaining robust workflows.