Advertising & Supervision Analyst

Advertising & Supervision AnalystCompensation: $85,000 Base Salary + 15% Incentive Bonus Location: Tempe, AZ Position OverviewAn established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. Work EnvironmentHybrid schedule availableFully remote may be considered for candidates with all required licensesIn-office collaboration preferredKey ResponsibilitiesReview and supervise: Sales literatureMarketing materialsAdvertising contentWritten and electronic correspondenceOutside business activities (OBA)Provide subject matter expertise regarding: FINRA advertising regulationsSEC Marketing Rule requirementsInternal compliance standardsAssist financial professionals in aligning content with regulatory requirements and firm policiesFile advertising and communications materials with FINRA as requiredSupport development and maintenance of: Supervisory proceduresCompliance controlsTraining materialsCompliance-approved content librariesInternal compliance communicationsConduct regulatory research and provide guidance on advertising-related compliance questionsAssist with training and mentoring junior Advertising Compliance AnalystsPartner cross-functionally with: RIAsFinancial professionalsProduct partnersAdvertising agenciesPR firmsInternal compliance teamsInterpret and apply SEC and FINRA regulations to proposed advertising and communication materialsEscalate complex compliance concerns to senior leadership when appropriateRequired QualificationsMinimum 5+ years of industry experience within: Advertising complianceBroker-dealer complianceRIA complianceFinancial services supervisionStrong understanding of: FINRA advertising and communication regulationsSEC Marketing Rule requirementsTestimonials, endorsements, and third-party awards regulationsPerformance advertising requirementsExperience reviewing: Marketing materialsSales literatureDigital advertisingSocial media communicationsFinancial professional correspondenceExperience filing advertising materials with FINRAStrong analytical, critical thinking, and communication skillsAbility to interpret complex regulatory guidance and apply it to real-world marketing contentStrong understanding of: Securities productsInsurance productsInvestment advisory servicesExperience within a dual-registrant environment (Broker-Dealer + RIA preferred)Licenses & CertificationsFINRA Series 7 License — RequiredFINRA Series 24 License — RequiredSeries 66 License — Required within 3 months of hirePreferred QualificationsBachelor’s Degree preferredExperience supporting digital marketing and social media compliance initiatives within financial servicesExperience 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]