Compliance Specialist

Private Advisor Group, one of the nation’s top RIA firms, is built on relationships, innovation, and providing the tools advisors need to grow their practice and serve their clients with excellence. We're in the middle of an exciting period of growth, recruiting new advisors, deepening relationships with the advisors already on our platform, and investing in the people and structure to support both. About the Role We are seeking an experienced Compliance Specialist to lead our advertising and marketing compliance function and to serve as the primary compliance point of contact for our Investment Adviser Representative (IAR)-only advisors, within a dynamic RIA with affiliated broker-dealer operations. This individual will oversee the end-to-end review, approval, and tracking of advertising and marketing materials to ensure compliance with SEC rules, including the Investment Advisers Act of 1940 and the Marketing Rule (Rule 206(4)-1). The Compliance Specialist will also field and resolve a broad range of compliance inquiries from IAR-only advisors, providing timely, practical guidance and escalating complex matters as appropriate. The ideal candidate is a proactive compliance professional with strong communication skills, the ability to interpret and apply complex regulatory requirements, and the confidence to engage directly with IARs and internal teams. This role requires both technical expertise and a collaborative, service-oriented mindset. Key Responsibilities IAR-Only Advisor Support (Primary Point of Contact) Serve as the primary point of contact for IAR-only advisors on compliance inquiries and questions, including advertising, outside business activities, personal trading, client complaints, recordkeeping, books and records, and other regulatory and firm policy matters. Provide timely, accurate, and practical guidance that helps IAR-only advisors run their businesses in line with SEC requirements and firm policies. Track, document, and resolve inquiries in a consistent manner, maintaining records in accordance with regulatory and firm standards. Escalate complex or high-risk matters to the Chief Compliance Officer or other appropriate compliance personnel, and follow through to resolution. Identify recurring questions and themes from IAR-only advisors and use them to inform FAQs, training content, and policy or procedure updates. Build strong working relationships with IAR-only advisors and their staff, fostering a culture of proactive compliance.ationships with IAR-only advisors and their staff, fostering a culture of proactive compliance. Advertising Review & Oversight Lead all aspects of the advertising and marketing review process, including review, approval, and documentation of materials created by IARs and internal teams. Ensure all content complies with SEC advertising regulations, firm policies, and disclosure requirements. Maintain advertising review logs within an automated system and ensure accurate recordkeeping in accordance with regulatory standards. Stay abreast of regulatory developments, industry best practices, and guidance related to the SEC Marketing Rule. Conduct welcome and introductory calls with new IARs to provide training and guidance on advertising, marketing, and other compliance topics. Serve as a key compliance contact for all IARs, providing timely and practical advice on advertising questions and general compliance matters. Develop and deliver periodic training sessions, updates, and communications to IARs and firm staff on advertising regulations and compliance expectations. Internal Collaboration & Leadership Partner with internal teams to support compliant growth initiatives. Provide expert input on marketing strategies, website content, and digital media initiatives to ensure alignment with regulatory expectations. Identify process improvements, including the implementation of AI capabilities, to streamline the review and inquiry-response functions while maintaining robust compliance oversight. Contribute to other compliance program functions as assigned, such as policy development, monitoring, testing, and audit and examination support. Qualifications Required 5+ years of experience in compliance or marketing review within an SEC-registered RIA. Strong understanding of SEC rules, including the Investment Advisers Act of 1940 and the Marketing Rule (Rule 206(4)-1). Broad working knowledge of RIA compliance topics beyond advertising (e.g., Form ADV, code of ethics, personal trading, outside business activities, books and records), sufficient to answer day-to-day advisor inquiries. Excellent written and verbal communication skills, with the ability to explain regulatory concepts clearly to non-compliance professionals. Strong client-service orientation and responsiveness when supporting advisors. Proven ability to manage multiple projects, inquiries, and deadlines in a fast-paced, remote environment. High attention to detail and sound judgment in interpreting regulations. Preferred Series 7, 24, and 65 or 66. Prior leadership or team lead experience within a compliance or advertising review function. Familiarity with FINRA advertising rules for hybrid advisors. Experience using Red Oak or other compliance technology platforms for advertising review, inquiry tracking, and documentation. Work Location and Hours This is afull-time, remote role. Candidates must be available to work during East Coast business hours. Compensation and Benefits Base salary of $115,000 - $125,000 depending on experience, with the opportunity for an annual bonus based on performance. #J-18808-Ljbffr Private Advisor Group