State Licensed Senior Advisor Principal

Job Summary

A company is looking for a Sr. Advisor Communications & OBA Supervisory Principal.

Key Responsibilities

• Evaluate and approve marketing materials and public communications
• Review outside business activities and private securities transactions for compliance
• Consult with advisors on marketing initiatives and regulatory inquiries

Required Qualifications

• 3+ years of financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role
• Strong knowledge of FINRA, SEC, and State rules and regulations
• Licensing Requirement: Series 7, 24
• Bachelor's Degree preferred