Advertising & Supervision Analyst

Compensation: $85,000 Base Salary + 15% Incentive Bonus Location : Tempe, AZ Position Overview An established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. This individual will support the review and supervision of advertising, marketing materials, correspondence, and outside business activities for financial professionals operating within a broker-dealer and RIA environment. This role requires a strong understanding of FINRA and SEC advertising regulations, including SEC Marketing Rule requirements related to testimonials, endorsements, third-party awards, and performance advertising. The ideal candidate will be highly analytical, detail-oriented, collaborative, and experienced in helping financial professionals align communications and marketing materials with regulatory requirements and internal compliance policies. The position reports directly to the Director of Advertising Compliance and will work closely with internal compliance teams, RIAs, financial professionals, agencies, and external partners. Work Environment Hybrid schedule available Fully remote may be considered for candidates with all required licenses In-office collaboration preferred Key Responsibilities Review and supervise: Sales literature Marketing materials Advertising content Written and electronic correspondence Outside business activities (OBA) FINRA advertising regulations SEC Marketing Rule requirements Internal compliance standards Assist financial professionals in aligning content with regulatory requirements and firm policies File advertising and communications materials with FINRA as requiredSupport development and maintenance of: Supervisory procedures Compliance controls Training materials Compliance‑approved content libraries Internal compliance communications Conduct regulatory research and provide guidance on advertising‑related compliance questions Assist with training and mentoring junior Advertising Compliance Analysts Partner cross‑functionally with: RIAs Financial professionals Product partners Advertising agencies PR firms Internal compliance teams Interpret and apply SEC and FINRA regulations to proposed advertising and communication materials Escalate complex compliance concerns to senior leadership when appropriate Required Qualifications Minimum 5+ years of industry experience within: Advertising compliance Broker‑dealer compliance RIA compliance Financial services supervision Strong understanding of: FINRA advertising and communication regulations SEC Marketing Rule requirements Testimonials, endorsements, and third-party awards regulations Performance advertising requirements Experience reviewing: Marketing materials Sales literature Digital advertising Social media communications Financial professional correspondence Experience filing advertising materials with FINRA Strong analytical, critical thinking, and communication skills Ability to interpret complex regulatory guidance and apply it to real‑world marketing content Strong understanding of: Securities products Insurance products Investment advisory services Experience within a dual‑registrant environment (Broker‑Dealer + RIA preferred) Licenses & Certifications FINRA Series 7 License — Required FINRA Series 24 License — Required Series 66 License — Required within 3 months of hire Preferred Qualifications Bachelor’s Degree preferred Experience supporting digital marketing and social media compliance initiatives within financial services Experience training internal teams and financial professionals on advertising compliance requirements 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 View email address on click.appcast.io. #J-18808-Ljbffr Mohr Talent