Senior Advisor, Supervision- Advertising Review

Accountabilities

• Serve as a trusted supervision partner to financial advisors, marketing teams, home-office functions, and other business areas on advertising, marketing, social media, and communications matters.

• Review complex and escalated advertising and marketing materials against applicable SEC, FINRA, state, and internal requirements.

• Research regulatory and supervisory questions and translate complex requirements into practical guidance for business partners.

• Evaluate situations that fall outside established rules, policies, or precedents and develop well-supported recommendations for resolution.

• Partner with Supervision, Compliance, Legal, Marketing, and other internal teams to resolve complex or sensitive matters.

• Support and oversee supervisory programs for assigned business areas, ensuring controls remain aligned with business activities and risk.

• Identify emerging trends, recurring issues, control gaps, and opportunities to strengthen policies, procedures, training, and supervisory practices.

• Recommend and help implement improvements as business models, technologies, communication channels, and regulatory expectations evolve.

• Provide escalated guidance to supervision associates and business partners while coaching and mentoring less experienced team members.

• Assess potential regulatory, supervisory, and firm risks and escalate matters involving potential violations or liability when appropriate.

• Support quality assurance activities and other controls designed to identify and address compliance and supervision concerns.

• Prepare written recommendations, presentations, training materials, and other communications for business partners and senior management.

• Support regulatory inquiries and examinations by coordinating relevant information and documentation.

• Maintain current knowledge of securities regulations, industry developments, financial products, emerging communication technologies, and supervisory practices.

• Take ownership of complex matters from initial inquiry through documented resolution, ensuring appropriate follow-through.

Requirements

• Bachelor’s degree in a relevant discipline and at least 3 years of experience in Compliance, Supervision, or a related financial services environment, or an equivalent combination of education, training, and experience.

• Series 7, Series 65/66, and Series 24 licenses required, or the ability to obtain the required licenses within an established timeframe.

• Strong knowledge of SEC, FINRA, and applicable state securities rules governing broker-dealer advertising, marketing, and communications.

• Experience applying risk-based supervisory and compliance controls within financial services.

• Knowledge of financial markets, investment products, securities operations, and industry practices.

• Understanding of advertising, marketing, social media, digital communications, and emerging communication channels within financial services.

• Demonstrated ability to interpret regulations and firm policies and apply sound judgment when circumstances do not have a straightforward answer.

• Strong research, critical-thinking, analytical, and problem-solving skills, particularly when navigating ambiguous or complex regulatory matters.

• Ability to balance regulatory and supervisory requirements with practical business considerations and customer or advisor experience.

• Excellent written and verbal communication skills, with the ability to explain complex requirements, decisions, and rationale in a clear and actionable manner.

• Strong relationship-building skills and the ability to collaborate effectively with Compliance, Legal, Marketing, Supervision, and business stakeholders.

• Ability to independently manage multiple reviews, projects, and escalated matters while meeting competing deadlines.

• Demonstrated initiative and sound judgment, with the confidence to make decisions and recognize when escalation or additional expertise is required.

• Ability to identify broader risks and convert individual issues into improvements to processes, controls, policies, procedures, or training.

• Strong organizational skills and a commitment to accurate documentation and follow-through.

• Ability to coach, mentor, and share expertise with less experienced colleagues.

• Additional securities, compliance, advertising, marketing, or regulatory certifications are valued.

Benefits

• Base salary range of $80,000–$90,000.

• Remote work arrangement.

• Less than 25% travel.

• Potential eligibility for additional compensation, including discretionary bonuses or other compensation components.

• Medical, dental, and vision coverage.

• Life insurance.

• Critical illness and accident insurance.

• Disability benefits.

• Retirement savings benefits.

• Paid time off, including vacation, holidays, and sick leave.

• Parental leave.

• Professional development and opportunities to grow expertise in financial services supervision and regulation.

• A collaborative, people-focused environment emphasizing professional growth, teamwork, accountability, and continuous improvement.

• Opportunities to work across Supervision, Compliance, Legal, Marketing, and other business functions on complex and high-impact matters.

• Benefits eligibility and specific offerings may vary according to position and employment status.