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VP Marketing Review Specialist

HUB International • Carlsbad, CA • 4d ago

Title: Vice President / Marketing Review Specialist

Compensation: $100,000-$120,000.00

Bonus: 10% Discretionary yearly bonus

Location: Hybrid: Carlsbad - CA - 5973 Avenida Encinas

Department: Compliance

Reports to: Chief Compliance Officer

Working Hours : 8:00am-5:00pm (Monday-Friday)

About Us:

HUB is a global insurance and employee benefits broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services.

About HUB Retirement & Private Wealth (RPW):

We lead our communities with integrity, driven to make things better, both now and in the future. We serve, inspire, and thrive while maintaining an entrepreneurial spirit. We innovate, collaborate, and achieve success together, focused on the tomorrows for all.

Job Purpose:

Global Retirement Partners, a division of HUB International is an SEC-registered investment adviser seeking a Compliance Associate / Marketing Review Specialist to support the Firm's compliance program, with a primary focus on reviewing and approving marketing and advertising materials in accordance with SEC rules and Firm policies. This role will also support broader compliance initiatives, regulatory oversight, and ongoing monitoring efforts.

The ideal candidate is detail-oriented, organized, and comfortable working closely with advisors, marketing teams, and compliance leadership in a fast-paced environment.

Key Responsibilities:

Marketing & Advertising Review

Review, approve, and document investment advisory marketing and advertising materials in accordance with SEC rules (including Rule 206(4)-1), Firm policies, and internal procedures.

Manage the end-to-end marketing review workflow, including intake, review, feedback, approvals, and recordkeeping.

Review materials such as websites, social media posts, presentations, pitch books, newsletters, emails, videos, and third-party content.

Coordinate with advisors, marketing personnel, and third-party vendors to ensure timely and compliant approvals.

Maintain required records and evidence supporting marketing reviews and approvals.

General Compliance Support

Assist with the administration and ongoing enhancement of the Firm's compliance program under Rule 206(4)-7.

Support regulatory filings and disclosures, including ADV updates, policies and procedures, and compliance manuals.

Assist with testing, monitoring, and surveillance activities across compliance risk areas.

Respond to advisor compliance questions and provide guidance on Firm policies and regulatory requirements.

Support regulatory examinations, audits, and information requests as needed.

Assist with training initiatives, including compliance training related to marketing and advertising requirements.

Qualifications:

Bachelor's degree or equivalent experience.

2+ years of experience in compliance, regulatory review, or a related role within an SEC-registered RIA, broker-dealer, or financial services firm.

Working knowledge of SEC marketing and advertising requirements for investment advisers.

Strong attention to detail, organizational skills, and ability to manage multiple priorities.

Strong written and verbal communication skills.

Preferred

Experience reviewing investment adviser marketing materials under SEC Rule 206(4)-1.

Familiarity with compliance systems and workflow tools (e.g., marketing review platforms, archiving tools, CRM, or compliance software).

Experience supporting SEC examinations or regulatory audits.

Series 66/65

Featured Benefits:

$100,000-$120,000 salary

10% yearly discretionary bonus

Medical insurance, Vision insurance, Dental insurance, 401(k) plus match, Company Paid STD, Life Insurance, & parental leave

Monday-Friday (8am-5pm)

2 weeks of vacation, sick leave, personal days, and floating holiday's

Hybrid schedule

Travel:

No travel required

Department Business Operations

Required Experience: 5-7 years of relevant experience

Required Travel: No Travel Required

Required Education: Bachelor's degree (4-year degree)

HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations.

E-Verify Program (https://hubinternational.jobs/e-verify/)

We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team HUBRecruiting@hubinternational.com . This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.

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