Marketing Compliance Specialist (Finance)

Marketing Compliance Specialist (Finance) The MOHR Enterprises LLC Austin, TX Job Details $85,000 a year 12 hours ago Qualifications Securities & Exchange Commission Series 66 Series 7 Series 24 Securities law FINRA License Financial regulatory compliance Full Job Description Marketing Compliance & Communications Analyst $85,000 Base + Performance Bonus Austin, Tx (Hybrid, open to remote) Why You'll Want This Opportunity Be part of a dynamic financial services organization where compliance is viewed as a true business partner. In this role, you'll work alongside advisors, marketing professionals, and leadership teams to help guide advertising and communications efforts within FINRA and SEC regulatory standards. This is a great fit for someone who enjoys reviewing marketing content, interpreting regulations, and collaborating with teams in a fast-moving wealth management environment. Hybrid schedule available, with remote consideration for candidates who already hold all required active licenses. Key Responsibilities

• Review advisor advertising, marketing campaigns, websites, and social media communications Help ensure materials align with FINRA, SEC, and internal compliance standards Evaluate performance advertising, testimonials, endorsements, and promotional content Conduct supervision reviews for written and electronic communications Review and process Outside Business Activity (OBA) submissions Assist with regulatory advertising filings and documentation requirements Work cross-functionally with advisors, compliance teams, and external marketing partners What They're Looking For • 5+ years of compliance or communications review experience within financial services Strong knowledge of FINRA advertising regulations and SEC Marketing Rule requirements Experience supporting Broker-Dealer and/or RIA platforms Background reviewing sales materials, communications, or advisor marketing content Strong problem-solving, communication, and organizational skills Ability to interpret regulations and provide practical compliance guidance Active FINRA Series 7 and Series 24 licenses required Series 66 active or ability to obtain shortly after hire Ideal Background • Wealth Management, Investment Advisory, or Broker-Dealer experience Exposure to digital marketing and social media compliance reviews Comfortable working within a dual-registrant environment Ability to balance regulatory oversight with business partnership approach MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws.

We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at #LI-CA1