Advertising Compliance Specialist

Independent Financial Group; San Diego (CA); On-site; USD 80,000 - 95,000; Full time

Benefits offered by this job

On-site fitness center

Company-paid medical insurance

Company-paid life and LTD

401(k) matching

Market-competitive compensation based

Job summary

Independent Financial Group in San Diego, CA seeks an Advertising Analyst to review, monitor, and support the firm's advertising and marketing compliance program. You will collaborate with brokers, supervisors, and marketing staff to ensure SEC, FINRA, state, and firm requirements are met for all client-facing materials.

The role emphasizes regulatory risk mitigation, attention to detail, and strong analytical and communication skills in a fast-paced environment.

Qualifications

• Bachelor's degree preferred in a related field.
• 3+ years of experience in compliance or marketing review within financial services.
• Experience reviewing broker-dealer and/or investment adviser advertising.
• 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.

Responsibilities

• Review and approve advertising, marketing materials, websites, and other client-facing communications for compliance.
• 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 and 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.
• 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

Analytical skills

Strong communication

Customer service

Collaboration

Education

Bachelor's degree preferred

Tools

RegEd

Hadrius

MessageWatcher

ArchiveSocial

Job description

Independent Financial Group in San Diego, CA seeks an Advertising Analyst to review, monitor, and support the firm's advertising and marketing compliance program. You will collaborate with brokers, supervisors, and marketing staff to ensure SEC, FINRA, state, and firm requirements are met for all client-facing materials.

The role emphasizes regulatory risk mitigation, attention to detail, and strong analytical and communication skills in a fast-paced environment.