Concurrent · 1 day ago
Compliance Officer (Advertising and Marketing)
United States
Full-time
Remote
Director/Executive
$112K/yr - $125K/yr
7+ years expConcurrent 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.
AdviceFinancial ServicesWealth Management
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
Qualification
Required
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
Preferred
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
Concurrent
Concurrent is a platform for advisors that provides compliance, supervision, operational support, technology, banking, and trust services.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Nate Lenz
Co-Founder and CEO
Kevin McFarland
Founding Partner
Recent News
2026-01-09
2025-12-10
2025-10-23
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