Senior Advertising Supervision Principal

TEKsystems•Tempe, AZ

4d•$35 - $40•Hybrid

About The Position

Our client is seeking a Advertising Supervision Principal to join its Supervision team. This role is responsible for reviewing and approving marketing and advertising materials submitted by financial advisors and internal business partners to ensure compliance with industry regulations and firm policies. The ideal candidate will bring strong regulatory knowledge, excellent communication skills, and experience partnering with advisors in a fast-paced financial services environment.

Requirements

3+ years of financial services compliance experience with a focus on advertising or marketing review.
Active Series 7 and Series 24 licenses.
Strong knowledge of FINRA, SEC, and state rules and regulations.
Experience reviewing advisor-created marketing materials and communications.
Experience in a client-facing environment with strong stakeholder management skills.
Excellent verbal and written communication skills.
Strong attention to detail and the ability to manage multiple priorities in a fast-paced environment.
Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.

Nice To Haves

Bachelor's degree.
Active Series 66 license (or Series 63 and Series 65 combination).
Experience with advisor marketing platforms such as: FMG, Snappy Kraken, AdvisorStream
Experience supporting bank or credit union advisor programs.

Responsibilities

Review and approve advisor and corporate marketing materials, advertisements, and public communications.
Ensure communications comply with applicable FINRA, SEC, state regulatory requirements, and internal policies.
Provide redline edits and compliance guidance to help stakeholders achieve approval.
Partner with financial advisors and internal teams regarding marketing initiatives and compliance requirements.
Research and address potential policy violations and compliance concerns.
Support regulatory inquiries, examinations, and audit requests.
Participate in policy updates, departmental initiatives, and training efforts.
Maintain a high level of service while balancing compliance requirements and business objectives.