Advertising Compliance Principal – Finance (Remote)

TEKsystems; Fort Mill (SC); On-site; USD 62,000 - 66,000; Full time

Benefits offered by this job

Medical, dental & vision

401(k) Retirement Plan

Life Insurance

Disability insurance

HSA

Employee Assistance Program

Time Off/Leave

Job summary

TEKsystems is seeking an Advertising Supervision Principal for a contract role, fully remote. The position involves reviewing and approving marketing materials from Financial Advisors and home office staff, ensuring compliance with FINRA and SEC rules.

The role requires strong collaboration and communication skills, with experience in financial services advertising. The role offers a remote work arrangement and a pay range of $45.00–$48.00 per hour, with eligibility for standard benefits where

Qualifications

• 3+ years of prior financial services and advertising/marketing compliance review experience.
• Prior experience in a client-facing role.
• Ability to engage with stakeholders by phone and explain complex issues clearly.
• Knowledge of FINRA, SEC, and State rules and regulations.
• Licensing: Series 7, 24.

Responsibilities

• Review and approve marketing material requests from Financial Advisors and home office employees.
• Evaluate marketing materials and other public communications to provide principal approval or guidance for changes.
• Consult with advisors on their marketing initiatives and compliance.
• Research and address regulatory inquiries including branch exams.
• Contribute to policy updates and training in the department.

Skills

Series 7

Series 24

Marketing Compliance

FINRA

Education

Bachelor's Degree

Tools

Excel

Word

PowerPoint

Job description

TEKsystems is seeking an Advertising Supervision Principal for a contract role, fully remote. The position involves reviewing and approving marketing materials from Financial Advisors and home office staff, ensuring compliance with FINRA and SEC rules.

The role requires strong collaboration and communication skills, with experience in financial services advertising. The role offers a remote work arrangement and a pay range of $45.00–$48.00 per hour, with eligibility for standard benefits where