Manager, Advertising Review

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee advertising compliance policies and procedures to ensure alignment with FINRA, SEC, and other applicable regulations.

• Evaluate and authorize advertising and marketing materials for compliance purposes.

• Offer guidance and training to teams in marketing, sales, and legal departments.

• Keep abreast of regulatory changes and revise compliance policies accordingly.

• Partner with external legal counsel and regulatory agencies to address compliance matters.

• Oversee and document advertising campaigns to ensure compliance is maintained.

• Conduct regular audits and reviews to detect and correct potential violations.

• Lead and manage a team of compliance professionals.

• Provide guidance, training, and performance assessments for the team.

• Collaborate effectively with legal and risk management teams.

• Prepare and submit compliance reports and documentation to regulatory bodies.

⛳️ Requirements

• Bachelor’s degree from a four-year college or university, ideally in Finance, Economics, Business Administration, or a related discipline.

• At least 5 years of experience in advertising compliance within the financial services sector.

• Experience at a broker/dealer firm is preferable.

• Series 7 and 24 licenses are required.

• Series 63 license is required or must be obtained within 3 months of the start date.

• Strong understanding of FINRA and SEC regulations.

• Familiarity with industry best practices regarding advertising compliance.

• Outstanding attention to detail paired with strong analytical skills.

• Capability to interpret complex regulatory requirements.

• Excellent communication skills.

• Experience in leadership and team management.

• Proficient in relevant software and compliance tools.

• Ability to work autonomously, meet deadlines, and thrive in a fast-paced regulatory landscape.

🏝️ Benefits

• Comprehensive health, dental, vision, and life insurance plans.

• Mental health support services.

• Over 20 days of paid time off (PTO).

• Paid holidays.

• 2 paid wellness days.

• 401(k) savings plan with company contribution of up to 5%.

• Access to a financial professional.

• Paid parental leave.

• Options for Health Savings Account and Flexible Spending Account.

• Employee Assistance Program (EAP).

• LifeLock identity theft protection.

• Pet insurance.

• Paid caregiver leave.

• Additional voluntary benefits.