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 #J-18808-Ljbffr