Advertising & Supervision Analyst

Advertising & Supervision Analyst
Compensation: $85,000 Base Salary + 15% Incentive Bonus
Location: Austin, TX

Position Overview
An established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. This individual will support the review and supervision of advertising, marketing materials, correspondence, and outside business activities for financial professionals operating within a broker-dealer and RIA environment.

This role requires a strong understanding of FINRA and SEC advertising regulations, including SEC Marketing Rule requirements related to testimonials, endorsements, third-party awards, and performance advertising. The ideal candidate will be highly analytical, detail-oriented, collaborative, and experienced in helping financial professionals align communications and marketing materials with regulatory requirements and internal compliance policies.

The position reports directly to the Director of Advertising Compliance and will work closely with internal compliance teams, RIAs, financial professionals, agencies, and external partners.

Work Environment

Hybrid schedule available
Fully remote may be considered for candidates with all required licenses
In-office collaboration preferred

Key Responsibilities

Review and supervise:

Sales literature
Marketing materials
Advertising content
Written and electronic correspondence
Outside business activities (OBA)

Provide subject matter expertise regarding:

FINRA advertising regulations
SEC Marketing Rule requirements
Internal compliance standards

Assist financial professionals in aligning content with regulatory requirements and firm policies
File advertising and communications materials with FINRA as required
Support development and maintenance of:

Supervisory procedures
Compliance controls
Training materials
Compliance-approved content libraries
Internal compliance communications

Conduct regulatory research and provide guidance on advertising-related compliance questions
Assist with training and mentoring junior Advertising Compliance Analysts
Partner cross-functionally with:

RIAs
Financial professionals
Product partners
Advertising agencies
PR firms
Internal compliance teams

Interpret and apply SEC and FINRA regulations to proposed advertising and communication materials
Escalate complex compliance concerns to senior leadership when appropriate

Required Qualifications

Minimum 5+ years of industry experience within:

Advertising compliance
Broker-dealer compliance
RIA compliance
Financial services supervision

Strong understanding of:

FINRA advertising and communication regulations
SEC Marketing Rule requirements
Testimonials, endorsements, and third-party awards regulations
Performance advertising requirements

Experience reviewing:

Marketing materials
Sales literature
Digital advertising
Social media communications
Financial professional correspondence

Experience filing advertising materials with FINRA
Strong analytical, critical thinking, and communication skills
Ability to interpret complex regulatory guidance and apply it to real-world marketing content
Strong understanding of:

Securities products
Insurance products
Investment advisory services

Experience within a dual-registrant environment (Broker-Dealer + RIA preferred)

Licenses & Certifications

FINRA Series 7 License — Required
FINRA Series 24 License — Required
Series 66 License — Required within 3 months of hire

Preferred Qualifications

Bachelor’s Degree preferred
Experience supporting digital marketing and social media compliance initiatives within financial services
Experience training internal teams and financial professionals on advertising compliance requirements

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]