Advertising Compliance Specialist

About the role

The Compliance Analyst, Marketing & Advertising Review supports the enterprise’s oversight of advertising, marketing, and digital communications, with a primary focus on social media content, digital marketing channels, and ADA/accessibility compliance. This role partners closely with Marketing, Digital, Legal, and Compliance stakeholders to ensure that promotional materials meet regulatory requirements, company standards, and accessibility expectations while enabling timely, compliant business execution.

Responsibilities

• Review and approve advertising and marketing materials across channels, including: Social media platforms (organic and paid), Websites, landing pages, microsites, Email and digital campaigns, Video, audio, and influencer-related content.
• Evaluate materials for compliance with applicable federal and state regulations, internal policies, and brand standards. Ensure disclosures, disclaimers, and required regulatory language are accurate, clear, and appropriately displayed across platforms.
• Assess social media content for platform-specific compliance risks, including: Character-limited disclosures, Hashtags and tagging practices, Testimonials, endorsements, and influencer content, Real-time and reactive marketing posts.
• Partner with Marketing and Digital teams to develop compliant approaches for emerging social trends and new platforms. Support monitoring, issue identification, and remediation related to social media activity.
• Review digital marketing materials for accessibility considerations, including: Website and landing-page accessibility, Social media image alt-text and video captioning, Readability, contrast, and usability standards. Support alignment with recognized accessibility frameworks (e.g., WCAG standards) and internal accessibility guidelines.
• Partner with Digital, UX, and Legal teams to identify and remediate accessibility gaps.
• Serve as a trusted compliance partner to Marketing, Digital, and Product teams by providing practical, timely guidance. Participate in project planning and campaign reviews to identify compliance and accessibility considerations early. Assist with training and awareness efforts related to marketing compliance, social media risk, and accessibility expectations.
• Maintain accurate documentation of reviews, approvals, and issue resolution. Support reporting, metrics, and trend analysis related to marketing and social media compliance. Assist with regulatory inquiries, audits, and internal reviews as needed.
• Review retail communications, corporate, advisory and broker dealer, training, presentations and other materials for compliance with all applicable regulations.
• Understand the impacts of advertising regulations on various advertising and marketing mediums including but not limited to print, electronic, web-based, and social media platforms.
• Build and manage relationships with Marketing, Sales, Product Management, and Compliance teams.
• Develop and deliver advertising compliance training to Marketing and other Business partners periodically.
• Research, train and advise on new or updated regulations which can impact advertising compliance.
• Conduct oversight and spot checking of materials approved with changes to ensure Marketing has made required changes.

Qualifications

• FINRA Series 7 & 24 or 6 & 26 Required
• College degree or evidence of advanced industry education preferred (e.g., professional designations such as the ChFC, LUTCF, CFP, etc.)
• Minimum 1 years of advertising compliance experience or 3 years relevant work experience
• Minimum 5+ years of financial industry experience (insurance, broker-dealer and/or registered investment adviser)
• Intermediate knowledge of FINRA Rules 2210, 2211, 2212, 2213, 2214, SEC Rules 206(4)-1, 230.482, NAIC Model Regulations 570, 582 & 245
• Ability to think strategically about the impacts of advertising regulations and issues across the organization
• Ability to focus on what matters most and drive toward a common goal while keeping materials compliant
• Ability to negotiate and identify solutions to problems
• Ability to prioritize and execute on a high-volume of work
• Strong Analytical skills