Advertising/Marketing Review Principal

TEKsystems•San Diego, CA

2d•$40 - $45•Remote

About The Position

The Advertising / Marketing Review Principal is responsible for reviewing and approving marketing materials and public communications for financial professionals prior to onboarding. This role serves as the primary point of contact for regulatory marketing review during the onboarding process and partners closely with cross-functional teams to ensure compliance while supporting a seamless advisor experience.

Requirements

FINRA Series 7 and Series 24 licenses (active).
3+ years of experience in financial services with a focus on advertising/marketing compliance review.
Strong knowledge of FINRA, SEC, and state regulatory requirements governing communications with the public.
Prior client-facing experience with the ability to explain complex regulatory concepts clearly and effectively.
Comfortable engaging directly with stakeholders via phone and virtual channels.
Ability to operate effectively in a fast-paced, high-volume environment.
Strong collaboration and cross-functional partnership skills.
Excellent time management and organizational abilities.
Exceptional written and verbal communication skills.
High attention to detail with strong analytical and problem-solving capabilities.
Ability to manage multiple priorities and follow through on tasks efficiently.
Customer-focused mindset with strong relationship-building skills.
Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint)
Experience with Adobe Acrobat Pro and workflow tools such as Smartsheet or similar systems

Nice To Haves

FINRA Series 66 (or Series 63 and 65)
Bachelor’s degree or equivalent professional experience

Responsibilities

Review and evaluate marketing materials and public communications to ensure compliance with applicable regulatory requirements (FINRA, SEC, and state regulations).
Provide principal approval or deliver clear, actionable guidance to bring materials into compliance.
Serve as the primary regulatory marketing review contact for onboarding financial professionals.
Partner with internal stakeholders and advisors to consult on marketing strategies and communications.
Assist with intake, tracking, and data collection associated with marketing materials under review.
Maintain appropriate documentation of review decisions in accordance with recordkeeping standards.
Support additional projects and initiatives as assigned.