Digital Communications Compliance Lead

Madison-Davis; Fort Worth (TX); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Madison-Davis, LLC, in partnership with a well-established financial services firm, seeks a Supervision & Communications Principal to lead oversight of advisor communications, digital content, and marketing materials. This hybrid NYC-based role requires collaboration with Compliance, Legal, and Marketing to enforce FINRA/SEC rules and protect the firm's brand.

Strong supervisory controls and training capabilities are essential.

Qualifications

• Bachelor's degree or equivalent required.
• 3–5 years in FINRA/SEC compliance, marketing supervision, or communications oversight.
• Experience supervising digital communications, advertising, or advisor communications.
• Must obtain FINRA licenses (7/24/66) within 90 days; insurance license within 90 days.

Responsibilities

• Monitor and review digital communications, social media activity, and marketing content for regulatory and brand compliance
• Conduct supervisory reviews of advisor communications, including electronic messages and one-time-use marketing materials
• Approve and oversee social media profiles used for business purposes and manage onboarding/offboarding within surveillance systems
• Identify and remediate compliance issues in coordination with advisors and internal stakeholders
• Maintain and operate social media and digital communications surveillance tools and workflows
• Provide guidance on FINRA, SEC, and firm policy requirements related to communications and advertising
• Support regulatory exams, audits, and internal compliance reviews
• Deliver training and education to field personnel on marketing, communications, and regulatory standards
• Collaborate with Compliance and Marketing leadership to improve supervisory processes and procedures
• Monitor case management systems and respond to compliance-related issues in a timely manner

Skills

Analytical thinking

Communication

Decision making

Education

Bachelor's degree (or equivalent)

FINRA Series 7, 24, 66 (within 90 days)

Life/Health insurance license (within 90 days)

Job description

Madison-Davis, LLC, in partnership with a well-established financial services firm, seeks a Supervision & Communications Principal to lead oversight of advisor communications, digital content, and marketing materials. This hybrid NYC-based role requires collaboration with Compliance, Legal, and Marketing to enforce FINRA/SEC rules and protect the firm's brand.

Strong supervisory controls and training capabilities are essential.