Senior Advertising Supervision Principal

Location: Fort Mill, SC or Tempe, AZ (Hybrid: 2–3 days onsite) | Employment Type: Contract-to-Hire

About the role

Our client is seeking an Advertising Supervision Principal to join its Supervision team. This role is responsible for reviewing and approving marketing and advertising materials submitted by financial advisors and internal business partners to ensure compliance with industry regulations and firm policies. The ideal candidate will bring strong regulatory knowledge, excellent communication skills, and experience partnering with advisors in a fast-paced financial services environment.

Responsibilities

• Review and approve advisor and corporate marketing materials, advertisements, and public communications.
• Ensure communications comply with applicable FINRA, SEC, state regulatory requirements, and internal policies.
• Provide redline edits and compliance guidance to help stakeholders achieve approval.
• Partner with financial advisors and internal teams regarding marketing initiatives and compliance requirements.
• Research and address potential policy violations and compliance concerns.
• Support regulatory inquiries, examinations, and audit requests.
• Participate in policy updates, departmental initiatives, and training efforts.
• Maintain a high level of service while balancing compliance requirements and business objectives.

Requirements

• 3+ years of financial services compliance experience with a focus on advertising or marketing review.
• Active Series 7 and Series 24 licenses.
• Strong knowledge of FINRA, SEC, and state rules and regulations.
• Experience reviewing advisor-created marketing materials and communications.
• Experience in a client-facing environment with strong stakeholder management skills.
• Excellent verbal and written communication skills.
• Strong attention to detail and the ability to manage multiple priorities in a fast-paced environment.
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.

Preferred Qualifications

• Bachelor's degree.
• Active Series 66 license (or Series 63 and Series 65 combination).
• Experience with advisor marketing platforms such as:
  • FMG
  • Snappy Kraken
  • AdvisorStream
• Experience supporting bank or credit union advisor programs.

Types of Materials Reviewed

• Websites
• Business cards
• Newsletters
• Brochures
• Seminar materials
• Public communications
• Social media content
• Advisor marketing campaigns

Skills

• Strong customer service and relationship management abilities.
• Ability to communicate compliance decisions professionally and tactfully.
• Experience de-escalating challenging conversations while maintaining positive advisor relationships.
• Strong organizational, analytical, and problem-solving skills.
• Collaborative, team-oriented approach with a service-focused mindset.
• Series 7
• Series 24
• Marketing Compliance
• Advertising Review
• FINRA Regulations
• SEC Regulations
• Financial Services Compliance
• Communication Review
• Stakeholder Management
• Regulatory Compliance

Target Backgrounds

• Advertising Compliance Principal
• Marketing Compliance Analyst
• Compliance Officer
• Advertising Review Principal
• Regulatory Compliance Analyst
• Communications Review Specialist
• Financial Services Compliance Professional
• Marketing Review Specialist
• Broker-Dealer Compliance Professional
• Supervision Principal

Pay

The pay range for this position is $35.00 - $40.00/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.

Benefits

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)

Schedule

This is a hybrid position in Tempe, AZ (2–3 days onsite).