Financial Marketing Compliance Specialist

Financial Marketing Compliance Specialist

Position Title:

Financial Marketing Compliance Specialist

Type:
Hourly, Non-Exempt

Must have a strong working knowledge of FINRA, Reg D investments, and investment industry regulations (FINRA, SEC)

Supports the Investor Relations and RIA Channel teams and functions as a liaison with the Corporate Marketing Department to coordinate and execute marketing projects, materials, and their compliance for all Investor Relations and RIA Channels communications.

Develop and lead differentiated marketing strategies for investor and RIA partner acquisition and engagement, including email campaigns, digital marketing, conferences, newsletters, and go-to-market paid media strategies for firm-wide and segment-specific initiatives. Ensure alignment with business, market, and practice management objectives.

Develop collateral material including pitch decks, executive summaries, fact sheets, quarterly updates, and materials that reflect the company's unique values and propositions.

Collaborate on website strategy to ensure content, design and functionality support business goals and users’ needs.

Oversee development and execution of marketing campaigns that drive engagement and deliver results measured in prospect and client outcomes and effectiveness.

Partner with Executive leadership, Marketing and Investor Relations to ensure messaging reflects company strategy, investor feedback and market positioning.

Ensure compliance with and understanding of emerging AI trends in marketing, evaluating potential for client experience.

Stay informed on industry trends, competitor activities and emerging marketing technologies. Apply insights to enhance marketing strategies and provide competitive advantage.

Identify opportunities to leverage new tools, platforms and methods to enhance performance.

Ensure all marketing communications and disclosures remain compliant with regulatory rules and regulations (SEC, FINRA).

Monitor marketing tool performance, usage, and profitability and drive enhancements to meet KPIs.

• Must have experience in marketing Reg D or 506(c) private placements and managing content compliance and understanding of Rule 2210
• Bachelor's degree in Marketing, Advertising, Business, or a related field.
• Five plus years of experience in leading marketing results within regulated financial services industries, banking, insurance, or wealth management.
• Experience working with or within RIAs, family offices, or alternative investment platforms.
• Extensive knowledge of investment products, particularly Reg D investments, and industry regulations (FINRA, SEC).
• Strong familiarity with marketing agencies and ways of holding teams accountable.
• Familiarity with media planning tools and analytics platforms.
• Excellent written and verbal communication skills.
• Ability to keep varying types of investors and customer types at the forefront of decision-making and plan implementation.
• Highly self‑motivated and flexible. Able to work in a fast‑paced, growing company. Adaptable to change.

• 100% Employer Paid Medical for Employee AND Whole Family (includes the Mayo Clinic)
• 401k/Roth Plan 4% Match with Immediate Vesting
• Vision Insurance
• Company Paid Life Insurance, plus optional voluntary coverage
• Company Paid Short-and-Long-Term Disability Insurance
• Employee Assistance Program
• Fully Paid Life Time Gym Membership (if >8 visit days/month)
• Student Loan Repayment Assistance
• Job-related Tuition Reimbursement
• Catered Friday Lunches
• Advancement Opportunities in a Fast‑Growing Company
• And More!

Associate

Full‑time

Marketing

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