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.