Advertising Review & Compliance Analyst

Mohr Talent; Austin (TX); 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 seeking an Advertising Review & Compliance Analyst to join its Compliance team in a hybrid role based in the Austin area. The role partners with Financial Advisors, Marketing, and Compliance leadership to review client-facing communications and ensure all advertising materials meet FINRA and SEC requirements.

The ideal candidate has 5+ years of broker-dealer or RIA compliance experience, with direct experience reviewing financial services advertising.

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.

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 / RIA Compliance

Advertising review

FINRA 2210 knowledge

Communication skills

Education

FINRA Series 7 and 24 licenses

Tools

Red Oak

Smarsh

RegEd

MyComplianceOffice

Hearsay

Job description

Hybrid for candidates located in the Austin area. Highly qualified candidates residing outside the Austin or Tempe markets may be considered for a remote arrangement.

A nationally recognized independent wealth management and broker-dealer organization is seeking an experienced Advertising Review & Compliance Analyst to join its expanding Compliance team.

This role partners closely with Financial Advisors, Marketing, and Compliance leadership to review client-facing communications, provide practical regulatory guidance, and ensure all advertising materials comply with FINRA and SEC requirements.

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.

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.

Required Licenses

• Active FINRA Series 7
• Active FINRA Series 24

Compensation & Benefits

• $85,000 Base Salary
• 15% Annual Bonus
• Medical, Dental & Vision Insurance
• 401(k)
• Paid Time Off & Holidays
• Comprehensive Benefits Package

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at [e-mail]

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Job Summary

Published: 8/4/2026

Type: Direct Hire

Location: Austin, Arizona

Category: Compliance

At MOHR Talent, your progress is our passion. We are a national, minority-owned firm committed to empowering diverse talent. Our team provides personalized, growth-driven solutions whether you are looking for a new career move or eager to drive your enterprise further.

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