Marketing Review Principal (Series 7, 24)

Job Summary

A company is looking for a Marketing Review Principal to review and approve marketing materials and public communications for financial professionals.

Key Responsibilities

• Review and approve marketing materials for financial advisors
• Ensure compliance with FINRA 2210, SEC, and state regulations related to communications
• Collaborate with financial professionals and their staff during the onboarding process

Required Qualifications

• Hands-on experience reviewing marketing materials for financial advisors
• Strong knowledge of relevant regulations (FINRA 2210, SEC, state rules)
• Possession of Series 7 and 24 licenses is mandatory
• Experience with redlining marketing materials such as business cards and websites
• Ability to work in a remote environment