Advertising Analyst

Independent Financial Group; San Diego (CA); Vor Ort; USD 70.000 - 95.000; Vollzeit

Benefits dieser Stelle

Free on-site fitness center

Company-paid medical insurance

Company-paid life and LTD

401(k) matching

Zusammenfassung

Independent Financial Group in San Diego, CA is seeking an Advertising Analyst to review and approve client-facing communications for regulatory compliance across advertising, marketing, websites, seminars, and social media.

The role collaborates with registered representatives, supervisors, and marketing teams, providing guidance, maintaining records, and supporting exams while mitigating regulatory risk and aligning with the firm's ethical standards.

Qualifikationen

• Bachelor's degree preferred.
• 3+ years of experience in compliance, marketing review, supervision, operations, or a related role within the financial services industry.
• Prior experience reviewing broker-dealer and/or investment adviser advertising and marketing materials preferred.
• Series 7, 24, and 63 required.
• Series 66 or 65 preferred.
• Experience with advertising review systems and electronic workflow platforms preferred.

Aufgaben

• Review and approve advertising, marketing materials, correspondence, websites, social media content, seminar materials, videos, podcasts, and other client-facing communications for compliance with SEC, FINRA, state regulatory, and firm requirements.
• Provide compliance guidance and training to representatives regarding advertising, marketing, correspondence, testimonials, endorsements, and social media requirements.
• Monitor advertising review workflows and maintain records in accordance with regulatory and firm retention requirements.
• Assist with regulatory examinations, audits, inquiries, and information requests involving advertising and marketing practices.

Kenntnisse

Attention to detail

Verbal communication

Written communication

Analytical thinking

Customer service orientation

Multi-priority management

Ausbildung

Bachelor's degree

Experience in compliance marketing (3+ years)

FINRA/SEC licensing knowledge (Series 7/24/63)

Tools

RegEd

Hadrius

MessageWatcher

ArchiveSocial

Jobbeschreibung

This role serves as a key member of the Compliance Department and is primarily responsible for reviewing, monitoring, and supporting the firm's advertising and marketing compliance program. The Advertising Analyst works closely with registered representatives, supervisors, marketing personnel, and other internal departments to ensure that advertising, marketing, correspondence, websites, seminars, social media communications, and other client-facing materials comply with SEC, FINRA, state regulatory, and firm requirements.The Advertising Analyst plays a critical role in identifying and mitigating regulatory risk associated with communications and marketing activities while supporting the firm's business objectives and commitment to ethical conduct. The ideal candidate is detail-oriented, adaptable, and capable of managing multiple priorities in a fast-paced environment while maintaining strong analytical, communication, and customer service skills.This position provides exposure to both broker-dealer and registered investment adviser advertising and marketing requirements and offers opportunities for professional growth within the organization.Independent Financial Group, LLC (IFG) is a privately held independent wealth management provider based in San Diego, California. Founded in 2003, IFG supports more than 600 independent financial professionals in over 400 offices nationwide with a comprehensive suite of business solutions. IFG has been widely recognized as a leading independent broker-dealer. In 2025, Financial Advisor magazine listed IFG as the 15th largest national independent broker-dealer and #2 for privately held broker-dealers based on gross revenue. Financial Planning ranked IFG 1st for women as a percentage of producing representatives in 2025 and 7th for financial advisor payout in 2024. InvestmentNews ranked the firm in the top 10 for payout and account assets in 2024. IFG is an eight-time honoree on the Inc. 5000 list of \"Fastest-Growing Private Companies in the US,\" and the San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022 and 2023.Job DutiesReview and approve advertising, marketing materials, correspondence, websites, social media content, seminar materials, videos, podcasts, and other client-facing communications for compliance with SEC, FINRA, state regulatory, and firm requirements.Review and approve representative websites, social media profiles, digital marketing content, and online advertising campaigns.Provide compliance guidance and training to representatives regarding advertising, marketing, correspondence, testimonials, endorsements, and social media requirements.Respond to representative inquiries regarding advertising, communication, and marketing-related regulatory obligations.Monitor advertising review workflows and maintain records in accordance with regulatory and firm retention requirements.Track advertising metrics, review volumes, approval timelines, and other operational measures to help improve department efficiency and service levels.Assist with regulatory examinations, audits, inquiries, and information requests involving advertising and marketing practices.Support the development, maintenance, and enhancement of advertising-related policies, procedures, supervisory controls, and training materials.Monitor regulatory developments related to communications, advertising, social media, testimonials, endorsements, and digital marketing activities.Identify and escalate advertising trends, exceptions, and compliance concerns and coordinate with business units regarding corrective actions and remediation when appropriate.Participate in special projects and other compliance initiatives as assigned.Other tasks, responsibilities, and duties as assigned.Bachelor's degree preferred.3+ years of experience in compliance, marketing review, supervision, operations, or a related role within the financial services industry.Prior experience reviewing broker-dealer and/or investment adviser advertising and marketing materials preferred.Working knowledge of FINRA, SEC, and state advertising regulations.Series 7, 24, and 63 required.Series 66 or 65 preferred.Experience with advertising review systems and electronic workflow platforms preferred.Technical SkillsProficiency in Microsoft Office, including Word, Excel, PowerPoint, Outlook, and Teams.Experience with advertising review and compliance monitoring systems such as RegEd, Hadrius, MessageWatcher, ArchiveSocial, or similar platforms preferred.Ability to learn and effectively utilize firm technology platforms and regulatory monitoring toolsCore CompetenciesStrong verbal and written communication skills.Attention to detail and commitment to accuracy.Working knowledge of securities products, services, and financial planning concepts.Understanding of advertising, correspondence, and marketing regulations.Strong analytical and problem-solving abilities.Ability to identify and assess regulatory risk.Professional judgment and decision-making skills.Ability to manage multiple priorities in a fast-paced environment.Customer service orientation and responsiveness.Collaboration and teamwork.Adaptability and flexibility.Accountability and integrity.CompensationIFG offers a competitive benefits package, including a free on-site fitness center, company-paid medical insurance, company-paid life and long-term disability (LTD) coverage, 401(k) matching, and market-competitive compensation based on experience.