The MOHR Enterprises LLC

Austin, TX | Hybrid $85,000 Base + 15% Annual Bonus + Comprehensive Benefits This role partners closely with Financial Advisors, Marketing, and Compliance leadership to review client-facing communications, provide practical regulatory guidance, and ensure all advertising materials comply with FINRA and SEC requirements. Review and approve advisor advertising, marketing materials, brochures, websites, presentations, email campaigns, social media content, seminars, podcasts, videos, and other retail communications. File required communications with FINRA. 5+ years of Broker-Dealer or RIA Compliance experience Direct experience reviewing and approving financial services advertising and retail communications.

Position Overview An established financial services organization is seeking an experienced Advertising & Supervision Analyst to join its Compliance and Supervision team. This individual will support the review and supervision of advertising, marketing materials, correspondence, and outside business activities for financial professionals operating within a broker-dealer and RIA environment. The position reports directly to the Director of Advertising Compliance and will work closely with internal compliance teams, RIAs, financial professionals, agencies, and external partners. Assist financial professionals in aligning content with regulatory requirements and firm policies File advertising and communications materials with FINRA as required Support development and maintenance of: Bachelor’s Degree preferred Experience supporting digital marketing and social media compliance initiatives within financial services Experience training internal teams and financial professionals on advertising compliance requirements

They are seeking a seasoned Advertising Compliance Analyst who understands the balance between regulatory protection and business enablement. They want someone who can confidently interpret SEC and FINRA rules, guide Financial Professionals in real time, and ensure marketing initiatives move forward without regulatory exposure. Reports directly to a new, forward-thinking Director within Surveillance Clear visibility within Compliance leadership Strong compensation structure: $85K base + 15% annual bonus Established wealth management platform with national footprint Real opportunity to influence advertising standards and compliance strategy This is ideal for a compliance professional who is already reviewing advertising and wants to step into a higher-impact role with leadership exposure. If you're working in a broker-dealer or hybrid RIA environment and you’re the person others go to for marketing rule interpretation — this is the seat you move into next.