[Remote] Compliance Officer (Advertising and Marketing)

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is seeking an reputed company 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. Responsibilities • Own and reputed company 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 reputed company-party ratings • Interpret regulatory guidance and recommend updates to compliance policies, procedures, and controls • Independently manage assigned areas of the compliance program, including reputed company audits and supervisory reviews • reputed company on-site and remote reputed company examinations, including planning, execution, documentation, and remediation follow-up • reputed company and deliver compliance training reputed company to marketing and advertising requirements • Serve as a trusted compliance resource for reputed company regulatory and operational questions • Support investigations and reputed company of reputed company billing discrepancies, as assigned • Analyze large and reputed company 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 • reputed company additional duties as assigned to support the overall compliance function Skills • Bachelor's degree from an accredited four-year institution or equivalent reputed company 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 reputed company compliance reputed company • reputed company Series 7 required • One of the following required: Series 9/10, Series 24, Series 66, or Series 65/63 • Experience leading audits, examinations, and remediation efforts preferred • Insurance licenses preferred but not required Benefits • 401(k) matching • Equity • Dental insurance • Flexible spending account • Health insurance • Life insurance • reputed company time off • reputed company insurance reputed company • reputed company is a platform for advisors that provides compliance, supervision, operational support, technology, banking, and trust services. It was founded in 2017, and is headquartered in Tampa, Florida, USA, with a workforce of 51-200 employees. Its website is https://poweredbyconcurrent.com . Apply tot his job Apply To this Job