Advertising Compliance Officer

Clear Street•New York, NY

1d•$80,000 - $110,000•Onsite

About The Position

We are seeking an experienced and detail-oriented Advertising Compliance Officer to join our compliance team and support our fast-growing active trading division. The Advertising Compliance Officer is role is pivotal in ensuring that all marketing and advertising materials and activities align with regulatory requirements, industry standards, and company policies. The ideal candidate will have a strong background in broker-dealer advertising rules and excellent communication skills. Your insights and analysis will help mitigate risks and uphold the integrity of our business practices.

Requirements

3+ years of relevant experience supporting marketing review and approval for a FINRA member broker-dealer.
Strong knowledge of SEC, FINRA and other relevant rules and regulations.
Familiarity with FINRA’s Advertising Regulation Department processes.
Experience reviewing high‑volume digital and social media content in a fast‑paced environment.
Strong written and verbal communication skills with the ability to provide clear, actionable guidance to business stakeholders.

Responsibilities

Review and analyze marketing and advertising materials, including print, digital, television, social media, marketing partnerships and other channels, to ensure compliance with FINRA, SEC, and other relevant regulations and industry standards.
Provide practical, business‑focused guidance that balances regulatory requirements with commercial objectives.
Provide ongoing guidance and support to Marketing teams and business stakeholders on compliance-related matters, offering recommendations for adjustments or improvements as needed.
Conduct training sessions for marketing teams and marketing partners to ensure they are aware of and adhere to compliance requirements and best practices.
Evaluate testimonials, endorsements and promotional offers for compliance with FINRA and SEC standards.
Determine filing requirements, prepare submissions and respond to comments from FINRA’s Advertising Regulation Department
Stay abreast of changes in relevant laws, regulations, and industry best practices to ensure ongoing compliance and provide informed advice to the organization.