Description:
A nationally recognized independent wealth management and broker-dealer organization is seeking an experienced Advertising Review & Compliance Analyst to join its expanding Compliance team.
This role partners closely with Financial Advisors, Marketing, and Compliance leadership to review client-facing communications, provide practical regulatory guidance, and ensure all advertising materials comply with FINRA and SEC requirements.
Responsibilities
- Review and approve advisor advertising, marketing materials, brochures, websites, presentations, email campaigns, social media content, seminars, podcasts, videos, and other retail communications.
- Ensure communications comply with FINRA Rule 2210, the SEC Marketing Rule, and internal compliance policies.
- Provide practical guidance to Financial Advisors and Marketing teams regarding compliant advertising practices.
- Review performance advertising, testimonials, endorsements, third-party ratings, and digital marketing content.
- Conduct regulatory research and interpret new FINRA and SEC guidance.
- File required communications with FINRA.
- Assist with developing compliance procedures, training materials, and approved content libraries.
- Collaborate with Compliance leadership on special projects and process improvements.
Qualifications
- 5+ years of Broker-Dealer or RIA Compliance experience
- Direct experience reviewing and approving financial services advertising and retail communications.
- Strong understanding of FINRA Rule 2210 and the SEC Marketing Rule.
- Experience supporting Financial Advisors within a Broker-Dealer or dual-registrant environment.
- Excellent written and verbal communication skills.
- Experience with platforms such as Red Oak, Smarsh, RegEd, MyComplianceOffice, Hearsay, or similar review systems is preferred.