Advertising Compliance Officer

About Clear Street: 

Clear Street is modernizing the brokerage ecosystem. Founded in 2018 Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital markets.

We started from scratch by building a completely cloud-native clearing and custody system designed for today’s complex global market. Clear Street’s proprietary prime brokerage platform adds significant efficiency to the market while focusing on minimizing risk redundancy and cost for clients. Our goal is to create a single source-of-truth platform for every asset class in every country and in any currency.

By combining highly-skilled product and engineering talent with seasoned finance professionals we’re building the essentials to compete in today’s fast-paced markets.

The Role:

We are seeking an experienced and detail-oriented Advertising Compliance Officer to join our compliance team and support our fast-growing active trading division.  The Advertising Compliance Officer is role is pivotal in ensuring that all marketing and advertising materials and activities align with regulatory requirements industry standards and company policies. The ideal candidate will have a strong background in broker-dealer advertising rules and excellent communication skills.  Your insights and analysis will help mitigate risks and uphold the integrity of our business practices.

Responsibilities: 

• Review and analyze marketing and advertising materials including print digital television social media marketing partnerships and other channels to ensure compliance with FINRA SEC and other relevant regulations and industry standards.
• Provide practical business‑focused guidance that balances regulatory requirements with commercial objectives.
• Provide ongoing guidance and support to Marketing teams and business stakeholders on compliance-related matters offering recommendations for adjustments or improvements as needed.
• Conduct training sessions for marketing teams and marketing partners to ensure they are aware of and adhere to compliance requirements and best practices.
• Evaluate testimonials endorsements and promotional offers for compliance with FINRA and SEC standards.
• Determine filing requirements prepare submissions and respond to comments from FINRA’s Advertising Regulation Department
• Stay abreast of changes in relevant laws regulations and industry best practices to ensure ongoing compliance and provide informed advice to the organization.

Requirements

• 3+ years of relevant experience supporting marketing review and approval for a FINRA member broker-dealer.
• Strong knowledge of SEC FINRA and other relevant rules and regulations.
• Familiarity with FINRA’s Advertising Regulation Department processes.
• Experience reviewing high‑volume digital and social media content in a fast‑paced environment.
• Strong written and verbal communication skills with the ability to provide clear actionable guidance to business stakeholders.

We Offer:  

The Base Salary Range for this role is $80000-110000. This range is representative of the starting base salaries for this role at Clear Street. Where a candidate falls in this range will be based on job related factors such as relevant experience skills and location. This range represents Base Salary only which is just one element of Clear Street's total compensation. The range stated does not include other factors of total compensation such as bonuses or equity.

At Clear Street we offer competitive compensation packages company equity 401k matching gender neutral parental leave and full medical dental and vision insurance. Our belief has always been that we are better as a business when we are all together in person. As such we are requiring employees to be in the office 4 days per week. In-office benefits include lunch stipends fully stocked kitchens happy hours a great location and amazing views.

Our top priority is our people. We’re continuously investing in a culture that promotes collaboration. We help each other through challenges and celebrate each other's successes. We believe that modern workplaces succeed by virtue of having high-performance workforces that are diverse — in ideas in cultures and in experiences. We put in the effort to make such a workplace a daily reality and are proud to be an equal opportunity employer.

What We Do

Clear Street’s mission is to give every sophisticated investor access to every asset in every market through a unified platform built for speed transparency and scale. We give our clients the technology tools and service once reserved for the largest institutions rebuilt with modern infrastructure. Our single cloud-native end-to-end capital markets platform powers investor growth today and is transforming how they can interact with markets tomorrow. For more information visit https://clearstreet.io.

Why Work With Us

Clear Street has thoughtfully cultivated a team that combines problem-solving engineers with financial industry experts across clearing platforms compliance and more. The company is focused on building a team that is motivated to tackle fintech innovation and create a collaborative work culture for everyone.

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