Advertising Compliance Analyst- Financial Services

Advertising Compliance Analyst
Phoenix, AZ| $85,000 Base + 15% Incentive Bonus
Schedule: In Office | Full-Time

About the Opportunity

We’re partnering with a nationally recognized financial services company undergoing strong leadership expansion within their Compliance and Surveillance division.

They are seeking a seasoned Advertising Compliance Analyst who understands the balance between regulatory protection and business enablement. This is not an entry-level compliance seat. 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.

If you know advertising compliance inside a broker-dealer or dual-registrant RIA environment, and you already hold your 7 and 24, this is a serious career move.

What You’ll Be Doing

Review sales literature, marketing materials, websites, social media, and communications for regulatory compliance
Provide direct guidance to Financial Professionals on aligning content with SEC Marketing Rule and internal policies
Interpret and apply rules related to testimonials, endorsements, third-party awards, and performance advertising
File advertising and communications with FINRA as required
Conduct supervisory review of written and electronic correspondence
Review and evaluate Outside Business Activities (OBA)
Assist in developing supervisory procedures, compliance-approved material libraries, and internal training content
Conduct regulatory research and escalate complex matters appropriately
Mentor junior Advertising Compliance Analysts
Collaborate with RIAs, broker-dealer reps, product partners, marketing agencies, and PR firms

This is hands-on regulatory oversight with real influence across the business.

What They’re Looking For

4+ years of industry experience in Advertising Compliance
Strong broker-dealer and/or dual-registrant (BD/RIA) experience
Direct experience reviewing advertising, sales literature, and marketing materials
Deep knowledge of SEC Marketing Rule and FINRA advertising regulations
Experience filing materials with FINRA
Ability to interpret complex regulatory rules and apply them to real-world content
Strong written and verbal communication skills
High attention to detail with independent judgment

Licensing Requirements:

FINRA Series 7 – highly preferred
FINRA Series 24 – highly preferred
Series 66 – preferred or ability to obtain within 90 days

Why This Role Is Strong

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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MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at [email protected]