Compliance Officer (Advertising and Marketing)

Job Description

Job DescriptionDescriptionWe are seeking an experienced Compliance Officer, to manage the firm’s marketing and advertising compliance program. This Director-level individual contributor role serves as the firm’s subject matter expert on the SEC Marketing Rule and provides regulatory guidance to advisors, internal partners, and senior leadership.

This position plays a critical role in safeguarding the firm’s regulatory posture while enabling compliant, effective marketing practices across a growing national RIA platform. In addition to advertising oversight, the role contributes to branch audits, regulatory interpretation, and complex compliance initiatives, operating with a high degree of autonomy and accountability.
Key Responsibilities

• Own and oversee marketing and advertising compliance for the firm, including review and approval of RIA advertising materials under the SEC Marketing Rule
• Advise advisors and internal stakeholders on marketing, advertising, testimonials, endorsements, and third-party ratings
• Interpret regulatory guidance and recommend updates to compliance policies, procedures, and controls
• Independently manage assigned areas of the compliance program, including branch audits and supervisory reviews
• Lead on-site and remote branch examinations, including planning, execution, documentation, and remediation follow-up
• Develop and deliver compliance training related to marketing and advertising requirements
• Serve as a trusted compliance resource for complex regulatory and operational questions
• Support investigations and resolution of complex billing discrepancies, as assigned
• Analyze large and complex data sets to identify compliance trends, risks, and control gaps
• Coordinate responses to regulatory exams, audits, and internal reviews
• Partner closely with the Chief Compliance Officer on remediation efforts and compliance enhancements
• Perform additional duties as assigned to support the overall compliance function

Advertising and Marketing Review Scope

This role is responsible for reviewing and approving a broad range of advisor and firm marketing materials, including:

Websites, landing pages, and blogs

• Social media posts and profiles
• Pitch decks, brochures, factsheets, and white papers
• Email campaigns and newsletters
• Videos, podcasts, webinars, and other digital media
• Third-party content shared by advisors

Qualifications

• Bachelor’s degree from an accredited four-year institution or equivalent professional experience
• Minimum of seven years of experience in financial services compliance, supervision, or operations
• Strong working knowledge of SEC regulations applicable to RIAs, with deep expertise in marketing and advertising compliance
• Demonstrated ability to operate independently, apply regulatory judgment, and manage complex compliance matters
• Experience leading audits, examinations, and remediation efforts preferred

Licenses and Certifications

• Active Series 7 required
• One of the following required: Series 9/10, Series 24, Series 66, or Series 65/63
• Insurance licenses preferred but not required

Location / Schedule

• This position will work remote
• Working hours are 9am-5pm Monday-Friday
• Occasional evening/weekend hours may be requested

Job Type

• Full-time, Exempt
• $112,000-$125,000 base per year, dependent on experience, with additional semi-annual performance bonus opportunities

Benefits

• 401(k) matching
• Equity
• Dental insurance
• Flexible spending account
• Health insurance
• Life insurance
• Paid time off
• Vision insurance