[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 firm’s marketing and advertising compliance program. This Director-level individual contributor role serves as the firm’s 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 Now
Apply Now
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 Now
Apply Now