Advertising Review & Compliance Analyst

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.