Compliance Advertising Review Professional

Cole Financial, Inc. is seeking a highly motivated, creative, solutions-oriented, and proactive professional to join our Compliance team on-site in Tampa! This position will be responsible for the review of advertising/marketing materials distributed to clients/prospects and the public intended to solicit new business or educate on matters related to financial markets or planning strategies. The ideal candidate will have a strong background in the financial services industry and significant experience in advertising and marketing review, with a demonstrated ability to apply the FINRA advertising rules, and the SEC Marketing Rule to testimonials, endorsements and performance reports. It is critical that the candidate be able to work in a dynamic and diverse environment, growing the firm’s successful and evolving compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and identify solutions. • Provide oversight of financial planning agreements to ensure adherence to firm policies.