Advertising Compliance Specialist

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

Benefits offered by this job

On-site fitness center

Medical insurance

Life and LTD coverage

401(k) matching

Job summary

Independent Financial Group LLC is seeking an Advertising Analyst in San Diego to review and approve advertising, marketing materials, websites, and social media content for SEC/FINRA compliance. You will partner with registered reps, supervisors, and marketing teams to ensure accuracy and regulatory adherence.

The role emphasizes attention to detail, strong analytical skills, and the ability to manage multiple priorities in a fast-paced environment while supporting growth and ethical conduct in

Qualifications

• Bachelor's degree preferred in a related field or equivalent experience.
• 3+ years in compliance, marketing review, supervision, operations, or related role within financial services.
• 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.

Skills

Verbal & written communication

Attention to detail

Analytical thinking

Regulatory knowledge

Cross-functional collaboration

Education

Bachelor's degree preferred

Tools

Microsoft Office

RegEd

Hadrius

ArchiveSocial

Job description

Independent Financial Group LLC is seeking an Advertising Analyst in San Diego to review and approve advertising, marketing materials, websites, and social media content for SEC/FINRA compliance. You will partner with registered reps, supervisors, and marketing teams to ensure accuracy and regulatory adherence.

The role emphasizes attention to detail, strong analytical skills, and the ability to manage multiple priorities in a fast-paced environment while supporting growth and ethical conduct in