They are seeking a seasoned Advertising Compliance Analyst who understands the balance between regulatory protection and business enablement. They want someone who can confidently interpret SEC and FINRA rules, guide Financial Professionals in real time, and ensure marketing initiatives move forward without regulatory exposure. Reports directly to a new, forward-thinking Director within Surveillance Clear visibility within Compliance leadership Strong compensation structure: $85K base + 15% annual bonus Established wealth management platform with national footprint Real opportunity to influence advertising standards and compliance strategy This is ideal for a compliance professional who is already reviewing advertising and wants to step into a higher-impact role with leadership exposure. If you're working in a broker-dealer or hybrid RIA environment and you’re the person others go to for marketing rule interpretation — this is the seat you move into next.
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