Compliance Officer (Advertising and Marketing)

Compliance Officer (Advertising and Marketing) Department: Compliance Employment Type: Full Time Location: Tampa, FL Compensation: $112,000 - $125,000 / year Description We are seeking an experienced Compliance Officer, to manage the firm’s marketing and advertising compliance program. This Director-level individual contributor role serves as the firm’s subject matter expert on the SEC Marketing Rule and provides regulatory guidance to advisors, internal partners, and senior leadership. This position plays a critical role in safeguarding the firm’s regulatory posture while enabling compliant, effective marketing practices across a growing national RIA platform. In addition to advertising oversight, the role contributes to branch audits, regulatory interpretation, and complex compliance initiatives, operating with a high degree of autonomy and accountability. Key Responsibilities • Own and oversee marketing and advertising compliance for the firm, including review and approval of RIA advertising materials under the SEC Marketing Rule • Advise advisors and internal stakeholders on marketing, advertising, testimonials, endorsements, and third-party ratings • Interpret regulatory guidance and recommend updates to compliance policies, procedures, and controls • Independently manage assigned areas of the compliance program, including branch audits and supervisory reviews • Lead on-site and remote branch examinations, including planning, execution, documentation, and remediation follow-up • Develop and deliver compliance training related to marketing and advertising requirements • Serve as a trusted compliance resource for complex regulatory and operational questions • Support investigations and resolution of complex billing discrepancies, as assigned • Analyze large and complex data sets to identify compliance trends, risks, and control gaps • Coordinate responses to regulatory exams, audits, and internal reviews • Partner closely with the Chief Compliance Officer on remediation efforts and compliance enhancements • Perform additional duties as assigned to support the overall compliance function Advertising and Marketing Review Scope This role is responsible for reviewing and approving a broad range of advisor and firm marketing materials, including: Websites, landing pages, and blogs • Social media posts and profiles • Pitch decks, brochures, factsheets, and white papers • Email campaigns and newsletters • Videos, podcasts, webinars, and other digital media • Third-party content shared by advisors Qualifications • Bachelor’s degree from an accredited four-year institution or equivalent professional experience • Minimum of seven years of experience in financial services compliance, supervision, or operations • Strong working knowledge of SEC regulations applicable to RIAs, with deep expertise in marketing and advertising compliance • Demonstrated ability to operate independently, apply regulatory judgment, and manage complex compliance matters • Experience leading audits, examinations, and remediation efforts preferred Licenses and Certifications • Active Series 7 required • One of the following required: Series 9/10, Series 24, Series 66, or Series 65/63 • Insurance licenses preferred but not required Location / Schedule • This position will work remote • Working hours are 9am-5pm Monday-Friday • Occasional evening/weekend hours may be requested Job Type • Full-time, Exempt • $112,000-$125,000 base per year, dependent on experience, with additional semi-annual performance bonus opportunities Benefits • 401(k) matching • Equity • Dental insurance • Flexible spending account • Health insurance • Life insurance • Paid time off • Vision insurance Apply tot his job Apply To this Job