Advertising Compliance Specialist

Independent Financial Group, LLC; San Diego (CA); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Free on-site fitness center

Company-paid medical insurance

Company-paid life and long-term-disabi

401(k) matching

Job summary

Independent Financial Group, LLC (IFG) is a San Diego-based wealth management firm seeking an Advertising Analyst to review and monitor marketing communications for regulatory compliance. The role collaborates with registered representatives, supervisors, and marketing staff to ensure SEC, FINRA, and state rules are followed across advertising materials, websites, seminars, and social media.

The ideal candidate is detail-oriented and capable of juggling multiple priorities in a fast-paced

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.
• Working knowledge of FINRA, SEC, and state advertising regulations.

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.
• 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 elevate 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.

Skills

Attention to detail

Strong communication

Analytical thinking

Regulatory knowledge

Education

Bachelor's degree preferred

FINRA Series 7, 24, 63 required

Series 66 or 65 preferred

Tools

RegEd

Hadrius

MessageWatcher

ArchiveSocial

Job description

Independent Financial Group, LLC (IFG) is a San Diego-based wealth management firm seeking an Advertising Analyst to review and monitor marketing communications for regulatory compliance. The role collaborates with registered representatives, supervisors, and marketing staff to ensure SEC, FINRA, and state rules are followed across advertising materials, websites, seminars, and social media.

The ideal candidate is detail-oriented and capable of juggling multiple priorities in a fast-paced