Senior Advertising Supervision Principal

TEKsystems•Charlotte, NC

4d•$35 - $40•Hybrid

About The Position

Our client, a large Financial Services and Wealth Management Firm, is seeking several Sr. Advertising Supervision Principals to review and approve marketing and advertising materials created by financial advisors and internal business partners. This position plays a critical role in ensuring communications comply with regulatory standards while supporting advisors in executing effective marketing initiatives. The ideal candidate combines strong financial services compliance knowledge with excellent communication skills and a client-service mindset.

Requirements

3+ years of financial services compliance experience focused on advertising, marketing, or communications review.
Experience working directly with clients, advisors, or stakeholders.
Strong understanding of FINRA, SEC, and state regulatory requirements.
Series 7 License
Series 24 License
Ability to explain complex compliance concepts clearly and confidently.
Strong written and verbal communication skills.
Excellent organizational skills and attention to detail.
Ability to work effectively in a fast-paced, high-volume environment.
Proficiency with Microsoft Excel, Word, and PowerPoint.

Nice To Haves

Bachelor's Degree.
Series 66 License or Series 63 and Series 65 combination.
Experience reviewing advisor-created marketing content.
Experience with advertising and marketing compliance reviews.
Experience reviewing FINRA-regulated communications.
Familiarity with: FMG, Snappy Kraken, AdvisorStream
Alternatively, if a great candidate meets most qualifications but don't specifically have marketing/ ad review, candidates with related compliance review experience may also be considered, including: Outside Business Activities (OBA) review, Electronic communications review

Responsibilities

Review and approve marketing, advertising, and public communication materials for regulatory compliance.
Provide guidance and recommendations that help advisors modify materials to obtain approval.
Consult with financial advisors regarding marketing initiatives and advertising strategies.
Research and address situations where firm policies and procedures are not being followed.
Assist with regulatory inquiries, examinations, and branch reviews.
Contribute to department initiatives, policy enhancements, and training efforts.
Manage a high volume of reviews while maintaining quality and accuracy standards.
Communicate compliance decisions clearly and professionally to advisor stakeholders.
Offer compliant alternatives and recommendations rather than simply declining submissions.