Advertising & Supervision Analyst

Schedule: In Office | Full-Time They are seeking a seasoned Advertising & Supervision Analyst who understands the balance between regulatory protection and business enablement. Review sales literature, marketing materials, websites, social media, and communications for regulatory complianceProvide direct guidance to Financial Professionals on aligning content with SEC Marketing Rule and internal policiesInterpret and apply rules related to testimonials, endorsements, third-party awards, and performance advertisingFile advertising and communications with FINRA as requiredConduct supervisory review of written and electronic correspondenceReview and evaluate Outside Business Activities (OBA)Assist in developing supervisory procedures, compliance-approved material libraries, and internal training contentConduct regulatory research and escalate complex matters appropriatelyMentor junior Advertising Compliance AnalystsCollaborate with RIAs, broker-dealer reps, product partners, marketing agencies, and PR firmsThis is hands-on regulatory oversight with real influence across the business. Reports directly to a new, forward-thinking Director within SurveillanceClear visibility within Compliance leadershipStrong compensation structure: $85K base + 15% annual bonusEstablished wealth management platform with national footprintReal opportunity to influence advertising standards and compliance strategyThis 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.