Advertising Compliance Analyst- Financial Services

Advertising Compliance Analyst

Phoenix, AZ| $85,000 Base + 15% Incentive Bonus

Schedule: In Office | Full-Time

About the Opportunity

We’re partnering with a nationally recognized financial services company undergoing strong leadership expansion within their Compliance and Surveillance division.

They are seeking a seasoned Advertising Compliance Analyst who understands the balance between regulatory protection and business enablement. This is not an entry-level compliance seat. They want someone who can confidently interpret SEC and FINRA rules, guide Financial Professionals in real time, and ensure marketing initiatives move forward without regulatory exposure.

If you know advertising compliance inside a broker-dealer or dual-registrant RIA environment, and you already hold your 7 and 24, this is a serious career move.

What You’ll Be Doing

• Review sales literature, marketing materials, websites, social media, and communications for regulatory compliance

• Provide direct guidance to Financial Professionals on aligning content with SEC Marketing Rule and internal policies

• Interpret and apply rules related to testimonials, endorsements, third-party awards, and performance advertising

• File advertising and communications with FINRA as required

• Conduct supervisory review of written and electronic correspondence

• Review and evaluate Outside Business Activities (OBA)

• Assist in developing supervisory procedures, compliance-approved material libraries, and internal training content

• Conduct regulatory research and escalate complex matters appropriately

• Mentor junior Advertising Compliance Analysts

• Collaborate with RIAs, broker-dealer reps, product partners, marketing agencies, and PR firms

This is hands-on regulatory oversight with real influence across the business.

What They’re Looking For

• 4+ years of industry experience in Advertising Compliance

• Strong broker-dealer and/or dual-registrant (BD/RIA) experience

• Direct experience reviewing advertising, sales literature, and marketing materials

• Deep knowledge of SEC Marketing Rule and FINRA advertising regulations

• Experience filing materials with FINRA

• Ability to interpret complex regulatory rules and apply them to real-world content

• Strong written and verbal communication skills

• High attention to detail with independent judgment

Licensing Requirements:

• FINRA Series 7 – highly preferred

• FINRA Series 24 – highly preferred

• Series 66 – preferred or ability to obtain within 90 days

Why This Role Is Strong

• Reports directly to a new, forward-thinking Director within Surveillance

• Clear visibility within Compliance leadership

• Strong compensation structure: $85K base + 15% annual bonus

• Established wealth management platform with national footprint

• Real opportunity to influence advertising standards and compliance strategy

This 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.

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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 hr@themohrgrp.com