[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 .