Advertising Analyst

Independent Financial Group LLC•San Diego, CA

1d•$80,000 - $95,000

About The Position

The Advertising Analyst serves as a key member of the Compliance Department and is primarily responsible for reviewing, monitoring, and supporting the firm's advertising and marketing compliance program. The role works closely with registered representatives, supervisors, marketing personnel, and other internal departments to help ensure that advertising, marketing, correspondence, websites, seminars, social media communications, and other client-facing materials comply with SEC, FINRA, state regulatory, and firm requirements. It helps identify and mitigate regulatory risk associated with communications and marketing activities while supporting the firm's business objectives and commitment to ethical conduct. The position provides exposure to broker-dealer and registered investment adviser advertising and marketing requirements. The ideal candidate is detail-oriented, adaptable, and able to manage multiple priorities in a fast-paced environment while applying strong analytical, communication, and customer service skills. Independent Financial Group, LLC (IFG) is a privately held independent wealth management provider based in San Diego, California. Founded in 2003, IFG supports more than 600 independent financial professionals in over 400 offices nationwide with a comprehensive suite of business solutions. The firm has received recognition from Financial Advisor magazine, Financial Planning, InvestmentNews, Inc. 5000, and the San Diego Business Journal.

Requirements

At least 3 years of experience in compliance, marketing review, supervision, operations, or a related role within the financial services industry.
Working knowledge of FINRA, SEC, and state advertising regulations.
Series 7, 24, and 63 licenses required.
Proficiency in Microsoft Office, including Word, Excel, PowerPoint, Outlook, and Teams.
Ability to learn and effectively use firm technology platforms and regulatory monitoring tools.
Strong verbal and written communication skills.
Attention to detail and commitment to accuracy.
Working knowledge of securities products, services, and financial planning concepts.
Understanding of advertising, correspondence, and marketing regulations.
Strong analytical and problem-solving abilities.
Ability to identify and assess regulatory risk.
Professional judgment and decision-making skills.
Ability to manage multiple priorities in a fast-paced environment.
Customer service orientation and responsiveness.
Collaboration and teamwork skills.
Adaptability and flexibility.
Accountability and integrity.

Nice To Haves

Bachelor's degree preferred.
Prior experience reviewing broker-dealer and/or investment adviser advertising and marketing materials preferred.
Series 66 or 65 preferred.
Experience with advertising review systems and electronic workflow platforms preferred.
Experience with advertising review and compliance monitoring systems such as RegEd, Hadrius, MessageWatcher, ArchiveSocial, or similar platforms preferred.

Responsibilities

Review and approve advertising, marketing materials, correspondence, websites, social media content, seminar materials, videos, podcasts, and other client-facing communications for compliance with SEC, FINRA, state regulatory, and firm requirements.
Review and approve representative websites, social media profiles, digital marketing content, and online advertising campaigns.
Provide compliance guidance and training to representatives regarding advertising, marketing, correspondence, testimonials, endorsements, and social media requirements.
Respond to representative inquiries regarding advertising, communication, and marketing-related regulatory obligations.
Monitor advertising review workflows and maintain records in accordance with regulatory and firm retention requirements.
Track advertising metrics, review volumes, approval timelines, and other operational measures to help improve department efficiency and service levels.
Assist with regulatory examinations, audits, inquiries, and information requests involving advertising and marketing practices.
Support the development, maintenance, and enhancement of advertising-related policies, procedures, supervisory controls, and training materials.
Monitor regulatory developments related to communications, advertising, social media, testimonials, endorsements, and digital marketing activities.
Identify and escalate advertising trends, exceptions, and compliance concerns, and coordinate with business units regarding corrective actions and remediation when appropriate.
Participate in special projects and other compliance initiatives as assigned.
Perform other tasks, responsibilities, and duties as assigned.