Advertising Compliance Analyst

Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients Lead with Purpose. Partner with Impact. Support the marketing initiatives of financial professionals utilizing Kestra Financial . From print materials to social media campaigns and seminars, these professionals must adhere to a wide range of regulatory requirements. This position is responsible for reviewing financial professionals’ communications, providing tailored compliance solutions to ensure each piece meets regulatory standards, and maintaining accurate records in accordance with regulations. Austin, TX or Phoenix, AZ preferred; remote considered. What You’ll Do: To perform this job successfully, individual must be able to execute each essential duty: Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies. Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators. Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications. Participate in the training and mentorship of Advertising Compliance Analysts. Collaborate effectively with financial professionals, product partners, outside broker-dealers, RIAs, agents, advertising agencies, and PR firms. Assist in training internal teams and field staff on advertising processes, s