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T
TEKsystems
Marketing & Advertising Compliance Supervisory Principal - FINRA Series 7 & 24
Career Insights for Advertising / Promotions Manager
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What they do
An Advertising or Promotions Manager plans and directs advertising programs aimed at creating extra interest in a product or service. Coordinates marketing team of sales and design staff, tracks data on media outlets and sales, and directs promotional events.
$117,792 / year median in the U.S.
-5% projected decline
Job Description
Our client is seeking experienced Advertising Principals to support the review and approval of advisor marketing and advertising materials in a FINRA-regulated environment. This role will work directly with financial advisors to ensure communications meet regulatory requirements while maintaining a strong client service approach. Location Remote through December unless extended until Jan/Feb Candidates located in or near the following locations will receive consideration for future full-time opportunities: + Fort Mill, SC + Tempe, AZ Key Responsibilities Review and approve a variety of advisor communications and marketing materials, including: + Websites + Business cards + Newsletters + Brochures + Seminar materials + Publications and books + Public communications + Select social media content Responsibilities include: + Reviewing and redlining marketing content + Ensuring compliance with FINRA regulations + Providing guidance and compliant alternatives to advisors + Partnering with stakeholders to resolve compliance concerns + Maintaining strong client service and communication standards Required Licenses + Active Series 7 + Active Series 24
Note:
Series 9/10 does not substitute for Series 24. Preferred Experience Strong preference for candidates with experience reviewing: + Advisor-created marketing materials + Advertising and marketing communications + FINRA-regulated communications + Compliance-related content edits and redlines Highly Desired Platform Experience + FMG + Snappy Kraken + AdvisorStream Alternative Experience Considered Candidates without direct advertising review experience may still be considered if they possess experience in: + Outside Business Activity (OBA) reviews + Electronic communications review + Banking marketing compliance review + Credit union marketing compliance review + Corporate communications compliance review Preferred Additional Licenses + Series 63 + Series 65 + Series 66 Specialized Team Opportunity One team specifically supports banking and credit union channels. Candidates with experience reviewing marketing materials for: + Bank-employed financial advisors + Financial advisors operating within bank or credit union programs are strongly encouraged to apply. Training & Onboarding New hires will participate in a structured onboarding program that includes: + Self-study modules + Instructor-led sessions + Training videos + Job shadowing Following training, candidates will complete supervised review exercises and receive coaching and feedback to ensure success in the role. Desired Soft Skills Successful candidates will demonstrate: Strong Communication Skills + Professional writing abilities + Excellent grammar and attention to detail + Ability to communicate complex compliance requirements clearly + Client-facing professionalism Advisor Relationship Management + Ability to de-escalate challenging situations + Tactful delivery of compliance feedback + Collaborative problem-solving approach + Service-oriented mindset + Ability to offer compliant alternatives rather than simply rejecting content Interview Process + One 30-minute virtual interview + Camera required + May be conducted as a panel interview Job Type & Location This is a Contract position based out of Tempe, AZ. Pay and Benefits The pay range for this position is $45.00 - $48.00/hr. Individual compensation offered for this position within this range will depend on many factors, including qualifications, skills, relevant experience, job knowledge, geographic location, internal equity, and other pertinent job-related factors. Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:- Medical, dental & vision
- Critical Illness, Accident, and Hospital
- 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
- Life Insurance (Voluntary Life & AD&D for the employee and dependents)
- Short and long-term disability
- Health Spending Account (HSA)
- Transportation benefits
- Employee Assistance Program
- Time Off/Leave (PTO, Vacation or Sick Leave) Workplace Type This is a fully remote position.