Overview
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.
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
#J-18808-Ljbffr
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.
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
#J-18808-Ljbffr