Marketing Compliance Review Specialist

Vigilant Compliance; Philadelphia (Philadelphia County); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

Paid holidays

Vacation days

401k with match

Additional benefits

Job summary

Vigilant Compliance in the United States seeks a Marketing and Advertising Review Specialist to ensure regulatory alignment of adviser and broker-dealer materials. You will review content, train financial advisors, and enforce policies, spanning campaigns, websites, and social media.

The role emphasizes strong regulatory knowledge, collaboration with advisors, and effective supervision of workflows, with competitive compensation and standard benefits offered.

Qualifications

• Bachelor’s degree in Business, Finance, Marketing, Pre-Law, or related field.
• 3–7 years of compliance, supervision, or legal experience within a FINRA-registered broker-dealer and/or SEC-registered Investment Advisor (RIA).
• Series 24 and Series 7 licensing highly preferred.
• Deep working knowledge of financial regulations and social media governance in regulated environments.
• Familiarity with compliance review software and archiving technology (e.g., Red Oak).

Responsibilities

• Advertising & Marketing Review: review, edit, and approve adviser and broker-dealer marketing collateral, websites, posts, scripts, and email campaigns.
• Regulatory Compliance: interpret and enforce SEC Marketing Rule and FINRA Advertising Rules.
• Advisor Collaboration: provide training and guidance on compliant communication strategies.
• Policies & Procedures: consult on Marketing and Advertising Written Supervisory Procedures.
• Escalations: act as primary escalation point for complex marketing compliance matters.
• Supervision: manage submission queues and software administration.

Skills

Regulatory compliance

Communication

Detail orientation

Project management

Education

Bachelor’s degree in Business, Finance, Marketing, Pre-Law, or related field

Tools

Red Oak

Job description

Vigilant Compliance in the United States seeks a Marketing and Advertising Review Specialist to ensure regulatory alignment of adviser and broker-dealer materials. You will review content, train financial advisors, and enforce policies, spanning campaigns, websites, and social media.

The role emphasizes strong regulatory knowledge, collaboration with advisors, and effective supervision of workflows, with competitive compensation and standard benefits offered.