Advertising Compliance Principal (FINRA/SEC)

Adweek; Tempe (AZ); Hybrid; USD 48,000 - 55,000; Full time

Job summary

TEKsystems is seeking an Advertising Supervision Principal to join its compliance team in Tempe, AZ, with a hybrid work arrangement (2-3 days onsite). The role reviews and approves marketing materials from advisors and internal teams to ensure FINRA, SEC, and state regulatory compliance.

The successful candidate will hold Series 7 and Series 24 licenses, have strong regulatory knowledge, and excel in cross-functional collaboration in a fast-paced financial services environment.

Qualifications

• 3+ years of financial services compliance experience focused on advertising review.
• Active Series 7 and Series 24 licenses.
• Strong FINRA, SEC, and state regulatory knowledge.
• Experience reviewing advisor-created marketing materials.
• Client-facing with stakeholder management skills.
• Excellent verbal and written communication.
• Attention to detail and ability to manage multiple priorities.
• Proficiency with Microsoft Office applications (Excel, Word, PowerPoint).

Responsibilities

• Review and approve advisor and corporate marketing materials, ads, and public communications.
• Ensure communications comply with FINRA, SEC, state rules, and internal policies.
• Provide redline edits and compliance guidance to obtain approvals.
• Partner with advisors and internal teams on marketing initiatives and compliance.
• Research and address potential policy violations and compliance concerns.
• Support regulatory inquiries, examinations, and audit requests.
• Participate in policy updates, departmental initiatives, and training.
• Balance compliance requirements with business objectives while maintaining service.

Skills

Series 7

Series 24

FINRA Regulations

SEC Regulations

Marketing Compliance

Advertising Review

Communication

Stakeholder Management

Attention to detail

Microsoft Office

Education

Bachelor's degree

Tools

FMG

Snappy Kraken

AdvisorStream

Job description

TEKsystems is seeking an Advertising Supervision Principal to join its compliance team in Tempe, AZ, with a hybrid work arrangement (2-3 days onsite). The role reviews and approves marketing materials from advisors and internal teams to ensure FINRA, SEC, and state regulatory compliance.

The successful candidate will hold Series 7 and Series 24 licenses, have strong regulatory knowledge, and excel in cross-functional collaboration in a fast-paced financial services environment.