Remote Compliance Officer (Advertising and Marketing)

Note: The job is a remote job and is open to candidates in USA. Concurrent is seeking an experienced Compliance Officer to manage the firms marketing and advertising compliance program. This Director-level individual contributor role serves as the firms subject matter expert on the SEC Marketing Rule and provides regulatory guidance to advisors, internal partners, and senior leadership. Responsibilities Own and oversee marketing and advertising compliance for the firm, including review and approval of RIA advertising materials under the SEC Marketing Rule Advise advisors and internal stakeholders on marketing, advertising, testimonials, endorsements, and third-party ratings Interpret regulatory guidance and recommend updates to compliance policies, procedures, and controls Independently manage assigned areas of the compliance program, including branch audits and supervisory reviews Lead on-site and remote branch examinations, including planning, execution, documentation, and remediation follow-up Develop and deliver compliance training related to marketing and advertising requirements Serve as a trusted compliance resource for complex regulatory and operational questions Support investigations and resolution of complex billing discrepancies, as assigned Analyze large and complex data sets to identify compliance trends, risks, and control gaps Coordinate responses to regulatory exams, audits, and internal reviews Partner closely with the Chief Compliance Officer on remediation efforts and compliance enhancements Perform additional duties as assigned to support the overall compliance function Skills Bachelor's degree from an accredited four-year institution or equivalent professional experience Minimum of seven years of experience in financial services compliance, supervision, or operations Strong working knowledge of SEC regulations applicable to RIAs, with deep expertise in marketing and advertising compliance Demonstrated ability to operate independently, apply regulatory judgment, and manage complex compliance matters Active Series 7 required One of the following required: Series 9/10, Series 24, Series 66, or Series 65/63 Experience leading audits, examinations, and remediation efforts preferred Insurance licenses preferred but not required Benefits 401(k) matching Equity Dental insurance Flexible spending account Health insurance Life insurance Paid time off Vision insurance Company Overview Concurrent is a platform for advisors that provides compliance, supervision, operational support, technology, banking, and trust services. It was founded in 2017, and is headquartered in Tampa, Florida, USA, with a workforce of 51-200 employees. Its website is https://poweredbyconcurrent.com . Apply To this Job Company : Concurrent Salary : 112K125K a year .