Private Advisor Group

Location: Remote, East Coast Time Zone

Overview

Private Advisor Group is a SEC registered investment advisor (RIA) committed to providing excellent financial services to our clients, while maintaining the highest level of compliance with regulatory requirements. We are seeking an experienced Advertising Review Analyst to lead our advertising and marketing compliance function within a dynamic SEC-registered investment advisory firm (RIA) with affiliated broker-dealer operations. This individual will be responsible for overseeing the end-to-end review, approval, and tracking of advertising and marketing materials to ensure compliance with SEC rules, including the Investment Advisers Act of 1940 and the Marketing Rule (Rule 206(4)-1).

The ideal candidate will be a proactive compliance professional with strong communication skills, the ability to interpret and apply complex regulatory requirements, and the confidence to engage directly with Investment Adviser Representatives (IARs) and internal teams. This role requires both technical expertise and a collaborative mindset.

Responsibilities:

• Advertising Review & Oversight
  • Lead all aspects of the advertising and marketing review process, including review, approval, and documentation of materials created by IARs and internal teams.
  • Ensure all content complies with SEC advertising regulations, firm policies, and disclosure requirements.
  • Maintain advertising review logs within an automated system and ensure accurate recordkeeping in accordance with regulatory standards.
  • Stay abreast of regulatory developments, industry best practices, and guidance related to the SEC Marketing Rule.
• Advisor Interaction & Education
  
  • Conduct welcome and introductory calls with new IARs to provide training and guidance on advertising, marketing, and other compliance topics.
  • Serve as a key compliance contact for IARs, providing timely and practical advice on advertising questions and general compliance matters.
  • Develop and deliver periodic training sessions, updates, and communications to IARs and firm staff on advertising regulations and compliance expectations.
• Internal Collaboration & Leadership
  
  • Partner with internal teams to support compliant growth initiatives.
  • Provide expert input on marketing strategies, website content, and digital media initiatives to ensure alignment with regulatory expectations.
  • Identify process improvements, including the implementation of AI capabilities, to streamline the review function while maintaining robust compliance oversight.
  • Contribute to other compliance program functions as assigned, such as policy development, monitoring, and audit support.

Required Qualifications: 

• Bachelor’s degree.
• 5+ years of experience in compliance or marketing review within an SEC-registered RIA.
• Strong understanding of SEC rules, including the Investment Advisers Act and Marketing Rule (Rule 206(4)-1).
• Excellent written and verbal communication skills with the ability to explain regulatory concepts clearly to non-compliance professionals.
• Proven ability to manage multiple projects and deadlines in a fast-paced, remote environment.
• High attention to detail and sound judgment in interpreting regulations.

Preferred Skills:

• Series 7, 24, and 65 or 66
• Prior leadership or team lead experience within a compliance or advertising review function.
• Familiarity with FINRA advertising rules for hybrid advisors.
• Experience using compliance technology platforms for advertising review and documentation.

To apply: jim.hooks@privateadvisorgroup.com