Advertising Compliance Analyst – FINRA/SEC

MOHR Talent; Arizona; Hybrid; USD 77,000 - 94,000; Full time

Benefits offered by this job

Medical, Dental & Vision Insurance

401(k)

Paid Time Off & Holidays

Comprehensive Benefits Package

Job summary

MOHR Talent is recruiting an Advertising Review & Compliance Analyst to join its Compliance team in a hybrid role centered in Austin, TX. The position reviews client-facing communications to ensure FINRA and SEC compliance and provides regulatory guidance to advisory and marketing teams.

Qualified candidates have 5+ years in broker-dealer or RIA compliance, and experience with advertising reviews and review platforms (Red Oak, Smarsh, RegEd, MyComplianceOffice, Hearsay).

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.

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.

Skills

Broker-Dealer compliance

Advertising review

Regulatory guidance

Written communication

Tools

Red Oak

Smarsh

RegEd

MyComplianceOffice

Hearsay

Job description

MOHR Talent is recruiting an Advertising Review & Compliance Analyst to join its Compliance team in a hybrid role centered in Austin, TX. The position reviews client-facing communications to ensure FINRA and SEC compliance and provides regulatory guidance to advisory and marketing teams.

Qualified candidates have 5+ years in broker-dealer or RIA compliance, and experience with advertising reviews and review platforms (Red Oak, Smarsh, RegEd, MyComplianceOffice, Hearsay).