Advertising Compliance Analyst- Financial Services

Advertising Compliance Analyst Remote| $85,000 Base + 15% Incentive Bonus  Schedule: In Office | Full-TimeAbout the OpportunityWe’re partnering with a nationally recognized financial services company undergoing strong leadership expansion within their Compliance and Surveillance division. They are seeking a seasoned Advertising Compliance Analyst who understands the balance between regulatory protection and business enablement. This is not an entry-level compliance seat. They want someone who can confidently interpret SEC and FINRA rules, guide Financial Professionals in real time, and ensure marketing initiatives move forward without regulatory exposure.If you know advertising compliance inside a broker-dealer or dual-registrant RIA environment, and you already hold your 7 and 24, this is a serious career move.What You’ll Be DoingReview sales literature, marketing materials, websites, social media, and communications for regulatory complianceProvide direct guidance to Financial Professionals on aligning content with SEC Marketing Rule and internal policiesInterpret and apply rules related to testimonials, endorsements, third-party awards, and performance advertisingFile advertising and communications with FINRA as requiredConduct supervisory review of written and electronic correspondenceReview and evaluate Outside Business Activities (OBA)Assist in developing supervisory procedures, compliance-approved material libraries, and internal training contentConduct regulatory research and escalate complex matters appropriatelyMentor junior Advertising Compliance AnalystsCollaborate with RIAs, broker-dealer reps, product partners, marketing agencies, and PR firmsThis is hands-on regulatory oversight with real influence across the business.What They’re Looking For4+ years of industry experience in Advertising ComplianceStrong broker-dealer and/or dual-registrant (BD/RIA) experienceDirect experience reviewing advertising, sales literature, and marketing materialsDeep knowledge of SEC Marketing Rule and FINRA advertising regulationsExperience filing materials with FINRAAbility to interpret complex regulatory rules and apply them to real-world contentStrong written and verbal communication skillsHigh attention to detail with independent judgmentLicensing Requirements:FINRA Series 7 – highly preferredFINRA Series 24 – highly preferredSeries 66 – preferred or ability to obtain within 90 daysWhy This Role Is StrongReports directly to a new, forward-thinking Director within SurveillanceClear visibility within Compliance leadershipStrong compensation structure: $85K base + 15% annual bonusEstablished wealth management platform with national footprintReal opportunity to influence advertising standards and compliance strategyThis is ideal for a compliance professional who is already reviewing advertising and wants to step into a higher-impact role with leadership exposure.If you're working in a broker-dealer or hybrid RIA environment and you’re the person others go to for marketing rule interpretation — this is the seat you move into next. 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 hr@themohrgrp.com