State Licensed Advertising Supervisor
Job Summary
Reviewing and approving marketing material requests, the full-time Senior Advertising Supervision Principal will consult with financial advisors, ensure compliance with regulations, and contribute to policy updates while working remotely or onsite.
Key responsibilities
- Evaluate marketing materials and provide principal approval or guidance for changes
- Consult with advisors on their marketing initiatives and address compliance issues
- Assist with regulatory inquiries and contribute to department initiatives
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: Series 7, 24
- Ability to engage with stakeholders and articulate complex issues clearly
Complete Job Description
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