VP Marketing Review Specialist

HUB International • Carlsbad, CA

1d • $100,000 - $120,000 • Hybrid

About The Position

Global Retirement Partners, a division of HUB International is an SEC-registered investment adviser seeking a Compliance Associate / Marketing Review Specialist to support the Firm’s compliance program, with a primary focus on reviewing and approving marketing and advertising materials in accordance with SEC rules and Firm policies. This role will also support broader compliance initiatives, regulatory oversight, and ongoing monitoring efforts. The ideal candidate is detail-oriented, organized, and comfortable working closely with advisors, marketing teams, and compliance leadership in a fast-paced environment.

Requirements

• Bachelor’s degree or equivalent experience.
• 2+ years of experience in compliance, regulatory review, or a related role within an SEC-registered RIA, broker-dealer, or financial services firm.
• Working knowledge of SEC marketing and advertising requirements for investment advisers.
• Strong attention to detail, organizational skills, and ability to manage multiple priorities.
• Strong written and verbal communication skills.

Nice To Haves

• Experience reviewing investment adviser marketing materials under SEC Rule 206(4)-1.
• Familiarity with compliance systems and workflow tools (e.g., marketing review platforms, archiving tools, CRM, or compliance software).
• Experience supporting SEC examinations or regulatory audits.
• Series 66/65

Responsibilities

• Marketing & Advertising Review Review, approve, and document investment advisory marketing and advertising materials in accordance with SEC rules (including Rule 206(4)-1), Firm policies, and internal procedures.
• Manage the end-to-end marketing review workflow, including intake, review, feedback, approvals, and recordkeeping.
• Review materials such as websites, social media posts, presentations, pitch books, newsletters, emails, videos, and third-party content.
• Coordinate with advisors, marketing personnel, and third-party vendors to ensure timely and compliant approvals.
• Maintain required records and evidence supporting marketing reviews and approvals.
• General Compliance Support Assist with the administration and ongoing enhancement of the Firm’s compliance program under Rule 206(4)-7.
• Support regulatory filings and disclosures, including ADV updates, policies and procedures, and compliance manuals.
• Assist with testing, monitoring, and surveillance activities across compliance risk areas.
• Respond to advisor compliance questions and provide guidance on Firm policies and regulatory requirements.
• Support regulatory examinations, audits, and information requests as needed.
• Assist with training initiatives, including compliance training related to marketing and advertising requirements.

Benefits

• $100,000-$120,000 salary
• 10% yearly discretionary bonus
• Medical insurance, Vision insurance, Dental insurance, 401(k) plus match, Company Paid STD, Life Insurance, & parental leave
• Monday-Friday (8am-5pm)
• 2 weeks of vacation, sick leave, personal days, and floating holiday’s

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level