Marketing Compliance Lead – Securities (RIA/BD)

Simplicity Group Holdings; California (MO); On-site; USD 85,000 - 95,000; Full time

Benefits offered by this job

Medical, dental, vision

401k with employer match

Paid Time Off

Paid parking

Job summary

Simplicity Group Holdings is seeking a Sr. Compliance Analyst in San Diego to lead the review and approval of marketing materials, ensuring SEC, FINRA, and state insurance ad standards are met.

You will partner with advisors and marketing teams to enable compliant growth across wealth management and insurance platforms. The role focuses on building and managing the firm's marketing compliance function, with duties spanning material reviews, team development, and regulatory support.

Qualifications

• 3+ years of marketing/advertising compliance experience in RIAs, broker‑dealers, insurance agencies, or dual registrants.
• Experience reviewing advisory, brokerage, and insurance marketing materials.

Responsibilities

• Lead and manage the marketing compliance review program across advisory, brokerage, and insurance communications.
• Build, train, and manage a marketing compliance team as the business grows.
• Oversee review and approval of marketing materials, including websites, social media, presentations, emails, and insurance sales content.
• Ensure compliance with the SEC Marketing Rule, FINRA Rule 2210, and state insurance advertising standards.
• Review testimonials, endorsements, performance, hypothetical performance, and insurance marketing materials.
• Serve as a compliance resource to advisors and marketing teams.
• Maintain advertising review workflows and records.
• Support regulatory exams and remediation related to marketing communications.

Skills

Marketing compliance

Communication skills

Regulatory knowledge

Education

Bachelor's degree (finance/business/compliance)

Job description

Simplicity Group Holdings is seeking a Sr. Compliance Analyst in San Diego to lead the review and approval of marketing materials, ensuring SEC, FINRA, and state insurance ad standards are met.

You will partner with advisors and marketing teams to enable compliant growth across wealth management and insurance platforms. The role focuses on building and managing the firm's marketing compliance function, with duties spanning material reviews, team development, and regulatory support.