Marketing and Advertising Review Specialist (Series 24 Preferred)

Date: July 27, 2026

Primary Location: 223 Wilmington West Chester Pike #216, Chadds Ford, PA 19317

Company: Vigilant Compliance

Client Types: Registered Investment Advisers ("RIAs"), Registered/Private Funds and Broker Dealers ("BDs")

Job Description:

We are seeking a Marketing and Advertising Review Specialist. In this role, you will be responsible for reviewing and analyzing various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures.

We are based in Chadds Ford, Pennsylvania. Our hours are normal business hours Monday through Friday. We offer a competitive salary, based on experience, as well as paid holidays, vacation days, 401k with a match, and additional benefits.

Key Responsibilities:

• Advertising & Marketing Review: Review, edit, and approve (or reject) adviser and broker dealer marketing collateral, websites, social media posts, seminar scripts, and email campaigns. 

• Regulatory Compliance: Interpret and strictly enforce regulations governing the financial services advertising, including the SEC Marketing Rule and FINRA Advertising Rules. 

• Advisor Collaboration: Act as a strategic partner and advisor to financial advisors. Provide proactive training and clear, actionable guidance on compliant communication strategies. 

• Policies & Procedures: Provide consultation for adviser client Marketing and Advertising Written Supervisory Procedures. 

• Escalations: Serve as the primary escalation point for complex marketing compliance matters. 

• Supervision: Manage submission queues and workflows, including software oversight and administration management. 

Skill In:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases. 

• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. 

• Detail orientation to ensure the regulatory liability is limited, without impairing workflow. 

• Utilizing business-appropriate phone manners. 

Ability To:

• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision. 

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including senior leadership suites. 

• Establish and communicate clear directions and priorities. 

• Provide a high level of customer service. 

Required Qualifications & Experience:

• Education: Bachelor’s degree in Business, Finance, Marketing, Pre-Law, or a related field. 

• Industry Experience: 3–7 years of compliance, supervision, or legal experience within a FINRA-registered broker-dealer and/or SEC-registered Investment Advisor (RIA). 

• Licensing Requirements: Series 24 (General Securities Principal) highly preferred and Series 7 (General Securities Representative) highly preferred. 

• Subject Matter Expertise: Deep working knowledge of financial regulations, books and records obligations (Rules 17a-4 and 204-2), and social media governance in a regulated environment. 

• Tech Skills: Familiarity with compliance review software and archiving technology (e.g., Red Oak and others). 

Performance Metrics:

• Review Turnaround Time: Maintaining compliance service-level agreements (SLAs) so advisors can get their materials approved in a timely manner without regulatory delays. 

• Deficiency Management: Minimizing or remediating risks. 

• Advisor Satisfaction Rating: Maintaining a collaborative and educational approach with the client network. 

Competencies:

Character: Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.

Who We Are:

Vigilant is an Award Winning and Industry Leading Compliance Firm that continues to remain Independent and Privately Owned delivering Clients end to end solutions that they can trust.

Since 2004, we have been providing tailored and customized end-to-end solutions to Advisers, Funds and Broker Dealers:

- Outsourced CCO

- CCO Support

- Advertising and Marketing Review

- Mock SEC/FINRA Exams

- SEC/ERA/Broker Dealer Registration

- Registered Representative Licensing

- Principal Underwriter for Registered Funds

Our Clients include: ETFs, Private Equity, Hedge Funds, Closed End Funds, Private Credit/Structured Credit, Mutual Funds, Wealth Managers, SMAs, Real Estate Funds, Infrastructure Funds, Registered Investment Advisers (RIAs) and Broker Dealers.