Series 7 and 24 Licensed Manager

Job Summary

A company is looking for a Mgr, Supervision Advisor Communication.

Key Responsibilities

• Manage processes for reviewing marketing materials for existing offices and employees
• Oversee a high-capacity team focused on supervision functions and compliance with FINRA and SEC regulations
• Resolve escalations from business partners and conduct performance reviews with team members

Required Qualifications

• 3+ years of financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role
• Knowledge of FINRA, SEC, and State rules and regulations
• Licensing Requirement: Series 7, 24
• Preferred: Licensing 66 (or 63 and 65) and a Bachelor's Degree