Remote Advertising Compliance Lead

Private Advisor Group; New Jersey; A distancia; USD 115.000 - 125.000; Jornada completa

Descripción de la vacante

Private Advisor Group is seeking an experienced Compliance Specialist to lead our advertising and marketing compliance function and to serve as the primary compliance contact for IAR-only advisors within a dynamic RIA environment.

You will oversee end-to-end review, approval, and tracking of materials to ensure compliance with SEC rules and guidance, while providing practical guidance and escalation paths for complex matters. This role emphasizes proactive collaboration and service orientation.

Formación

• 5+ years of experience in compliance or marketing review within an SEC-registered RIA.
• Strong understanding of SEC rules, including the Investment Advisers Act of 1940 and the Marketing Rule (Rule 206(4)-1).
• Broad working knowledge of RIA compliance topics beyond advertising (e.g., Form ADV, code of ethics, personal trading, books and records).
• Excellent written and verbal communication skills, with the ability to explain regulatory concepts clearly to non-compliance professionals.
• Strong client-service orientation and responsiveness when supporting advisors.

Responsabilidades

• Serve as the primary point of contact for IAR-only advisors on compliance inquiries and questions, including advertising, outside business activities, personal trading, client complaints, recordkeeping, books and records, and policy matters.
• Lead all aspects of the advertising and marketing review process, including review, approval, and documentation of materials created by IARs and internal teams.
• Maintain advertising review logs and ensure accurate recordkeeping in regulatory standards.
• Stay abreast of regulatory developments and guidance related to the SEC Marketing Rule.
• Conduct welcome and introductory calls with new IARs to provide training on advertising and compliance topics.
• Serve as a key compliance contact for all IARs, providing timely advice on advertising questions and compliance matters.
• Develop and deliver periodic training sessions and communications on advertising regulations and compliance expectations.

Conocimientos

Regulatory compliance

Communication skills

Client service

Project management

Attention to detail

Herramientas

Red Oak

Descripción del empleo

Private Advisor Group is seeking an experienced Compliance Specialist to lead our advertising and marketing compliance function and to serve as the primary compliance contact for IAR-only advisors within a dynamic RIA environment.

You will oversee end-to-end review, approval, and tracking of materials to ensure compliance with SEC rules and guidance, while providing practical guidance and escalation paths for complex matters. This role emphasizes proactive collaboration and service orientation.