
The Sr. Compliance Analyst role supports a Registered Investment Adviser and Broker-Dealer within the Securities Compliance department in San Diego. The position leads the review and approval of marketing materials across advisory, brokerage, and insurance platforms to ensure adherence to SEC, FINRA, and state regulations. Key responsibilities include managing the marketing compliance program, building and training a compliance team, and serving as a strategic resource for advisors and marketing staff. The role appeals to candidates seeking to drive compliant growth in a fast-expanding financial services firm with a focus on holistic financial strategies. This is a full-time, in-office position offering opportunities to shape compliance workflows in a dynamic environment.









