Tempe, AZ – Hybrid | Austin, TX – Hybrid | Remote considered for exceptional candidates residing outside the Tempe/Austin markets.
$85,000 Base + 15% Annual Bonus + Excellent Benefits
A well-established, nationally recognized Independent Broker-Dealer/RIA is seeking an experienced Advertising Compliance Analyst to join its growing Home Office Compliance team.
This is an outstanding opportunity for someone with direct Advertising Compliance experience who enjoys partnering with Financial Advisors and Marketing teams to review client-facing communications while ensuring compliance with FINRA and SEC regulations.
- Review and approve advisor marketing materials, advertisements, websites, presentations, email campaigns, social media content, seminars, videos, podcasts, and other retail communications.
- Ensure compliance with FINRA Rule 2210, the SEC Marketing Rule, and firm policies.
- Partner directly with Financial Advisors, Marketing, Compliance, and business partners to provide practical compliance guidance.
- Interpret regulatory requirements related to testimonials, endorsements, third-party ratings, performance advertising, and digital marketing.
- File required advertising materials with FINRA.
- Assist with maintaining supervisory procedures, compliance-approved content libraries, and internal guidance.
- Participate in training and mentoring junior Advertising Compliance professionals.
- Conduct regulatory research and remain current on industry rules and best practices.
- 5+ years of Advertising Compliance experience within a Broker-Dealer, RIA, or dual-registrant environment.
- Strong working knowledge of FINRA Rule 2210 and the SEC Marketing Rule.
- Experience reviewing advisor advertising, marketing materials, websites, social media, email campaigns, seminars, presentations, and other retail communications.
- Understanding of digital marketing trends and financial services advertising requirements.
- Excellent communication skills with the ability to explain regulatory requirements in a practical, advisor-friendly manner.
- Experience working with platforms such as Red Oak, Smarsh, RegEd, MyComplianceOffice, Hearsay, or similar systems is highly preferred.
- FINRA Series 7 (Active)
- FINRA Series 24 (Active)
- $85,000 Base Salary
- 15% Annual Bonus
- Comprehensive Medical, Dental & Vision
- 401(k) with Company Match
- Paid Time Off & Holidays
- Long-Term Career Growth with a Highly Respected Organization
Tempe, AZ (Hybrid) | Austin, TX (Hybrid) | Remote Considered for Highly Qualified Candidates
$85,000 Base + 15% Annual Bonus + Excellent Benefits
A well-established, nationally recognized Independent Broker-Dealer/RIA is seeking an experienced Advertising Compliance Analyst to join its growing Home Office Compliance team.
This is an outstanding opportunity for someone with direct Advertising Compliance experience who enjoys partnering with Financial Advisors and Marketing teams to review client-facing communications while ensuring compliance with FINRA and SEC regulations.
- Review and approve advisor marketing materials, advertisements, websites, presentations, email campaigns, social media content, seminars, videos, podcasts, and other retail communications.
- Ensure compliance with FINRA Rule 2210, the SEC Marketing Rule, and firm policies.
- Partner directly with Financial Advisors, Marketing, Compliance, and business partners to provide practical compliance guidance.
- Interpret regulatory requirements related to testimonials, endorsements, third-party ratings, performance advertising, and digital marketing.
- File required advertising materials with FINRA.
- Assist with maintaining supervisory procedures, compliance-approved content libraries, and internal guidance.
- Participate in training and mentoring junior Advertising Compliance professionals.
- Conduct regulatory research and remain current on industry rules and best practices.
- 5+ years of Advertising Compliance experience within a Broker-Dealer, RIA, or dual-registrant environment.
- Strong working knowledge of FINRA Rule 2210 and the SEC Marketing Rule.
- Experience reviewing advisor advertising, marketing materials, websites, social media, email campaigns, seminars, presentations, and other retail communications.
- Understanding of digital marketing trends and financial services advertising requirements.
- Excellent communication skills with the ability to explain regulatory requirements in a practical, advisor-friendly manner.
- Experience working with platforms such as Red Oak, Smarsh, RegEd, MyComplianceOffice, Hearsay, or similar systems is highly preferred.
- FINRA Series 7 (Active)
- FINRA Series 24 (Active)
- $85,000 Base Salary
- 15% Annual Bonus
- Comprehensive Medical, Dental & Vision
- 401(k) with Company Match
- Paid Time Off & Holidays
- Long-Term Career Growth with a Highly Respected Organization
MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at
[email protected]
#LI-NM1
