Austin, TX | Hybrid $85,000 Base + 15% Annual Bonus + Comprehensive Benefits This role partners closely with Financial Advisors, Marketing, and Compliance leadership to review client-facing communications, provide practical regulatory guidance, and ensure all advertising materials comply with FINRA and SEC requirements. Review and approve advisor advertising, marketing materials, brochures, websites, presentations, email campaigns, social media content, seminars, podcasts, videos, and other retail communications. File required communications with FINRA. 5+ years of Broker-Dealer or RIA Compliance experience Direct experience reviewing and approving financial services advertising and retail communications.
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