Marketing Compliance Lead - Financial Services

Associate Staffing; Fort Mill (SC); On-site; USD 80,000 - 120,000; Full time

Job summary

Associate Staffing is seeking a Supervisory Principal in Fort Mill, South Carolina. This role focuses on ensuring compliance of marketing and communication materials within the financial services industry. The ideal candidate will review materials for financial advisors and provide guidance on adherence to industry regulations.

Qualified individuals must possess FINRA Series 7 and 24 certifications, with at least 2 years of direct licensed experience. Proficiency in Microsoft applications is also essential.

Qualifications

• Minimum of 2 years of direct licensed experience.
• Experience reviewing any marketing/advertising materials for advisors or institutions is required.
• Experience with Microsoft applications: Excel, Word, Access, PowerPoint, SharePoint, Visio.

Responsibilities

• Ensure marketing and communications materials comply with regulations.
• Review marketing materials for financial advisors and provide compliance guidance.

Skills

Experience reviewing marketing materials

Proficiency in Microsoft applications

FINRA Series 7

FINRA Series 24

Direct licensed experience

Education

Licenses/Certifications (FINRA Series 7, 24)

Job description

Associate Staffing is seeking a Supervisory Principal in Fort Mill, South Carolina. This role focuses on ensuring compliance of marketing and communication materials within the financial services industry. The ideal candidate will review materials for financial advisors and provide guidance on adherence to industry regulations.

Qualified individuals must possess FINRA Series 7 and 24 certifications, with at least 2 years of direct licensed experience. Proficiency in Microsoft applications is also essential.