Advisor, Supervision- Advertising Review
Core
Provide experienced supervisory guidance over advertising, marketing, and communications to protect clients and the firm by interpreting regulations and resolving complex matters.
Role type
Senior compliance supervision advisor (advertising & marketing)
Builds
Supervisory programs, controls, and practical guidance for business partners
Domain
Financial services / Securities regulation
Deliverable
dashboards & analysis
Required skills
Regulatory interpretation, risk assessment, complex problem solving, cross-functional partnership, policy development, mentoring, written communication, regulatory research
Preferred skills
Securities industry knowledge, emerging technology awareness, process improvement
Technologies
SEC/FINRA regulatory frameworks, digital communications channels
Responsibilities
Review complex or escalated advertising and marketing materials; Research regulatory questions and translate requirements into practical guidance; Partner across Supervision, Compliance, Legal, and Marketing to resolve sensitive matters; Identify emerging trends and recommend improvements to supervisory programs; Coach and mentor less experienced team members; Support regulatory inquiries and examinations; Maintain current knowledge of SEC, FINRA, and state regulations.
Seniority
Senior, hands-on IC