What are the responsibilities and job description for the Senior Advertising Compliance Analyst position at MOHR Talent?
Senior Advertising Compliance Analyst
Hybrid | $85,000 15% Incentive Bonus
Austin, TX | Hybrid Flexibility
The team is open to fully remote candidates nationwide for professionals who already hold all required active licenses!
Why This Opportunity Stands Out
This is a highly visible compliance role with a growing wealth management organization that values collaboration, advisor partnership, and modern marketing oversight — not just “checking boxes.”
You’ll work directly with financial professionals, marketing teams, and leadership to review advertising and communications across digital, social, and traditional channels while helping the business navigate evolving FINRA and SEC regulations.
What You’ll Be Doing
• Review advisor marketing materials, websites, email campaigns, social media, and client communications
• Evaluate content for compliance with FINRA, SEC, and internal supervisory standards
• Review performance advertising, testimonials, endorsements, and third-party awards content
• Conduct correspondence and Outside Business Activity (OBA) reviews
• Support advertising filing submissions and regulatory documentation requirements
• Partner closely with advisors, RIAs, marketing teams, and external agencies
• Help support compliance procedures, training initiatives, and regulatory guidance efforts
What We’re Looking For
• 5 years of Advertising Compliance, Communications Review, or Marketing Compliance experience within financial services
• Strong knowledge of FINRA advertising regulations and SEC Marketing Rule requirements
• Experience reviewing advisor communications, sales literature, and marketing materials
• Background within Broker-Dealer, RIA, or dual-registrant environments
• Strong judgment, analytical thinking, and ability to interpret complex regulations
• Excellent communication skills with the ability to explain compliance concepts clearly and professionally
• Active FINRA Series 7 and Series 24 licenses required
• Series 66 active or ability to obtain shortly after hire
Ideal Background
• Wealth Management, Investment Advisory, or Independent Broker-Dealer experience
• Experience reviewing digital marketing and social media communications
• Exposure to correspondence supervision and advertising review workflows
• Comfortable balancing regulatory oversight with advisor support and business partnership
Why Candidates Are Interested
• High-visibility role with strong interaction across advisors and leadership
• Stable base salary plus annual bonus opportunity
• Opportunity to work within a collaborative, modern compliance environment
• Exposure to evolving SEC Marketing Rule and digital advertising initiatives
• Career growth potential within a large financial services platform
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
Hybrid | $85,000 15% Incentive Bonus
Austin, TX | Hybrid Flexibility
The team is open to fully remote candidates nationwide for professionals who already hold all required active licenses!
Why This Opportunity Stands Out
This is a highly visible compliance role with a growing wealth management organization that values collaboration, advisor partnership, and modern marketing oversight — not just “checking boxes.”
You’ll work directly with financial professionals, marketing teams, and leadership to review advertising and communications across digital, social, and traditional channels while helping the business navigate evolving FINRA and SEC regulations.
What You’ll Be Doing
• Review advisor marketing materials, websites, email campaigns, social media, and client communications
• Evaluate content for compliance with FINRA, SEC, and internal supervisory standards
• Review performance advertising, testimonials, endorsements, and third-party awards content
• Conduct correspondence and Outside Business Activity (OBA) reviews
• Support advertising filing submissions and regulatory documentation requirements
• Partner closely with advisors, RIAs, marketing teams, and external agencies
• Help support compliance procedures, training initiatives, and regulatory guidance efforts
What We’re Looking For
• 5 years of Advertising Compliance, Communications Review, or Marketing Compliance experience within financial services
• Strong knowledge of FINRA advertising regulations and SEC Marketing Rule requirements
• Experience reviewing advisor communications, sales literature, and marketing materials
• Background within Broker-Dealer, RIA, or dual-registrant environments
• Strong judgment, analytical thinking, and ability to interpret complex regulations
• Excellent communication skills with the ability to explain compliance concepts clearly and professionally
• Active FINRA Series 7 and Series 24 licenses required
• Series 66 active or ability to obtain shortly after hire
Ideal Background
• Wealth Management, Investment Advisory, or Independent Broker-Dealer experience
• Experience reviewing digital marketing and social media communications
• Exposure to correspondence supervision and advertising review workflows
• Comfortable balancing regulatory oversight with advisor support and business partnership
Why Candidates Are Interested
• High-visibility role with strong interaction across advisors and leadership
• Stable base salary plus annual bonus opportunity
• Opportunity to work within a collaborative, modern compliance environment
• Exposure to evolving SEC Marketing Rule and digital advertising initiatives
• Career growth potential within a large financial services platform
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