Advertising Compliance Analyst

Independent Financial Group; San Diego (CA); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Free on-site fitness center

Company-paid medical insurance

Company-paid life and LTD

401(k) matching

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Attention to detail

Verbal communication

Written communication

Analytical thinking

Customer service orientation

Multi-priority management

Education

Bachelor's degree

Experience in compliance marketing (3+ years)

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

Tools

RegEd

Hadrius

MessageWatcher

ArchiveSocial

Job description

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.