Advertising & Supervision Analyst
Mohr Talent
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Benefits offered by this job
Job summary
Mohr Talent is seeking an experienced Advertising & Supervision Analyst to join the Compliance and Supervision team in Tempe, AZ. The role focuses on reviewing advertising, marketing materials, and outside business activities to ensure alignment with FINRA and SEC rules.
The ideal candidate will have strong analytical, collaborative, and regulatory interpretation skills, with extensive experience in a broker-dealer and RIA environment.
Qualifications
- Minimum 5+ years of industry experience in Advertising compliance, Broker-dealer compliance, RIA compliance, and Financial services supervision.
- Strong understanding of FINRA advertising regulations and SEC Marketing Rule requirements.
- Experience reviewing Marketing materials, Sales literature, Digital advertising and financial professional correspondence.
- Experience filing advertising materials with FINRA.
- Dual-registrant environment experience preferred.
Responsibilities
- Review and supervise Sales literature, Marketing materials, Advertising content, Written and electronic correspondence, Outside business activities (OBA).
- Provide subject matter expertise regarding FINRA and SEC advertising regulations and internal compliance standards.
- Assist financial professionals in aligning content with regulatory requirements and firm policies.
- File advertising and communications materials with FINRA as required.
- Support development and maintenance of Supervisory procedures, Compliance controls, Training materials, and content libraries.
Skills
Education
Job description
Compensation:$85,000 Base Salary + 15% Incentive Bonus
Location: Tempe, AZ
An established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. This individual will support the review and supervision of advertising, marketing materials, correspondence, and outside business activities for financial professionals operating within a broker-dealer and RIA environment.
This role requires a strong understanding of FINRA and SEC advertising regulations, including SEC Marketing Rule requirements related to testimonials, endorsements, third-party awards, and performance advertising. The ideal candidate will be highly analytical, detail-oriented, collaborative, and experienced in helping financial professionals align communications and marketing materials with regulatory requirements and internal compliance policies.
The position reports directly to the Director of Advertising Compliance and will work closely with internal compliance teams, RIAs, financial professionals, agencies, and external partners.
- Hybrid schedule available
- Fully remote may be considered for candidates with all required licenses
- Review and supervise:
- Sales literature
- Marketing materials
- Advertising content
- Written and electronic correspondence
- Outside business activities (OBA)
- FINRA advertising regulations
- SEC Marketing Rule requirements
- Internal compliance standards
- Assist financial professionals in aligning content with regulatory requirements and firm policies
- File advertising and communications materials with FINRA as required
- Support development and maintenance of:
- Supervisory procedures
- Compliance controls
- Training materials
- Compliance-approved content libraries
- Internal compliance communications
- Conduct regulatory research and provide guidance on advertising-related compliance questions
- Assist with training and mentoring junior Advertising Compliance Analysts
- Partner cross-functionally with:
- RIAs
- Financial professionals
- Product partners
- Advertising agencies
- PR firms
- Internal compliance teams
- Interpret and apply SEC and FINRA regulations to proposed advertising and communication materials
- Escalate complex compliance concerns to senior leadership when appropriate
- Minimum 5+ years of industry experience within:
- Advertising compliance
- Broker-dealer compliance
- RIA compliance
- Financial services supervision
- Strong understanding of:
- FINRA advertising and communication regulations
- SEC Marketing Rule requirements
- Testimonials, endorsements, and third-party awards regulations
- Performance advertising requirements
- Experience reviewing:
- Marketing materials
- Sales literature
- Digital advertising
- Social media communications
- Financial professional correspondence
- Experience filing advertising materials with FINRA
- Strong analytical, critical thinking, and communication skills
- Ability to interpret complex regulatory guidance and apply it to real-world marketing content
- Strong understanding of:
- Securities products
- Insurance products
- Investment advisory services
- Experience within a dual-registrant environment (Broker-Dealer + RIA preferred)
- FINRA Series 7 License — Required
- FINRA Series 24 License — Required
- Series 66 License — Required within 3 months of hire
- Bachelor’s Degree preferred
- Experience supporting digital marketing and social media compliance initiatives within financial services
- Experience training internal teams and financial professionals on advertising compliance requirements
Compensation:$85,000 Base Salary + 15% Incentive Bonus
Location: Tempe, AZ
An established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. This individual will support the review and supervision of advertising, marketing materials, correspondence, and outside business activities for financial professionals operating within a broker-dealer and RIA environment.
This role requires a strong understanding of FINRA and SEC advertising regulations, including SEC Marketing Rule requirements related to testimonials, endorsements, third-party awards, and performance advertising. The ideal candidate will be highly analytical, detail-oriented, collaborative, and experienced in helping financial professionals align communications and marketing materials with regulatory requirements and internal compliance policies.
The position reports directly to the Director of Advertising Compliance and will work closely with internal compliance teams, RIAs, financial professionals, agencies, and external partners.
- Hybrid schedule available
- Fully remote may be considered for candidates with all required licenses
- In-office collaboration preferred
- Review and supervise:
- Sales literature
- Marketing materials
- Advertising content
- Written and electronic correspondence
- Outside business activities (OBA)
- Provide subject matter expertise regarding:
- FINRA advertising regulations
- SEC Marketing Rule requirements
- Internal compliance standards
- Assist financial professionals in aligning content with regulatory requirements and firm policies
- File advertising and communications materials with FINRA as required
- Support development and maintenance of:
- Supervisory procedures
- Compliance controls
- Training materials
- Compliance-approved content libraries
- Internal compliance communications
- Conduct regulatory research and provide guidance on advertising-related compliance questions
- Assist with training and mentoring junior Advertising Compliance Analysts
- Partner cross-functionally with:
- RIAs
- Financial professionals
- Product partners
- Advertising agencies
- PR firms
- Internal compliance teams
- Interpret and apply SEC and FINRA regulations to proposed advertising and communication materials
- Escalate complex compliance concerns to senior leadership when appropriate
- Minimum 5+ years of industry experience within:
- Advertising compliance
- Broker-dealer compliance
- RIA compliance
- Financial services supervision
- Strong understanding of:
- FINRA advertising and communication regulations
- SEC Marketing Rule requirements
- Testimonials, endorsements, and third-party awards regulations
- Performance advertising requirements
- Experience reviewing:
- Marketing materials
- Sales literature
- Digital advertising
- Social media communications
- Financial professional correspondence
- Experience filing advertising materials with FINRA
- Strong analytical, critical thinking, and communication skills
- Ability to interpret complex regulatory guidance and apply it to real-world marketing content
- Strong understanding of:
- Securities products
- Insurance products
- Investment advisory services
- Experience within a dual-registrant environment (Broker-Dealer + RIA preferred)
- FINRA Series 7 License — Required
- FINRA Series 24 License — Required
- Series 66 License — Required within 3 months of hire
- Bachelor’s Degree preferred
- Experience supporting digital marketing and social media compliance initiatives within financial services
- Experience training internal teams and financial professionals on advertising compliance requirements
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Published: 8/17/2026
Type: Direct Hire
Location: Tempe, Arizona
Category: Other Area(s)
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.
5775 Waterford District Dr, Suite #190 ,
Miami, FL 33126
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