Regulatory Review Principal - Marketing

PR Girl Manifesto; Fort Mill (SC); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical, dental, vision

401(k) with company match

ESPP

HSA

Job summary

Everforth Apex Systems is seeking a Regulatory Review Principal to lead approvals of marketing materials for financial professionals and their staff. You will act as the primary regulatory reviewer, coordinating with internal teams to ensure FINRA and SEC compliance.

The role emphasizes clear communication with clients and colleagues and requires strong attention to detail. Must have 3+ years in financial services advertising/marketing compliance, active Series 7 and 24, and a Bachelor's degree.

Qualifications

• 3+ years of financial services advertising/marketing compliance review, applying FINRA 2210.
• Ability to explain complex issues clearly over the phone.
• Strong knowledge of FINRA 2210, SEC, and state rules for public communications.
• Active Series 7 and Series 24 licenses are required.

Responsibilities

• Evaluate marketing materials and public communications to obtain principal approval or provide revisions.
• Review content such as stationery, websites, letters, and credentials for compliance.
• Consult with internal partners and advisors on marketing materials.
• Assist with data collection and intake for principal review.

Skills

FINRA knowledge

Verbal communication

Regulatory compliance

Attention to detail

Education

Bachelor's Degree

Tools

Smartsheet

Excel

Word

PowerPoint

Adobe Pro

BOX

Job description

# Regulatory Review Principal - MarketingApex Systems, Inc.Fort Mill, SCContractAug 13, 2026Marketing## Job Description**Job#: 3044732****Job Description:**Marketing Regulatory Review Principal**Location:** Can be 100% Remote - Tempe, AZ or Fort Mill, South Carolina (Preferred)**Duration:** 6+ months**Large Financial Client**Role OverviewThe Onboarding Advisor Communications Supervisory Principal will review and approve marketing materials and other public communications for financial professionals and their staff prior to affiliation. This role will serve as the first point of contact from a marketing regulatory review perspective for onboarding professionals and will work closely with several internal departments to ensure compliance.Key Responsibilities* Evaluate marketing materials and other public communications to provide principal approval or offer guidance for revisions.* Review a range of content, including stationery, websites, announcement letters, professional designations, titles, and educational credentials.* Consult with internal partners and advisors on their marketing materials to ensure compliance.* Assist with the data collection and intake of marketing materials as needed for principal review.* Perform "red line" marketing reviews by making direct revisions, not just approving or denying content.Required Qualifications* 3+ years of financial services experience specifically in advertising/marketing compliance review, applying FINRA 2210 to advisor-created content.* Prior experience in a client-facing role, with the ability to clearly explain complex issues over the phone and ask open-ended questions.* Strong knowledge of FINRA 2210, SEC, and state rules related to communications with the public.* Active Series 7 and Series 24 licenses are required.Preferred Qualifications* A Bachelor's Degree.* Active Series 66 license (or Series 63 and 65).* Experience reviewing marketing content within platforms such as FMG, Snappy Kraken, or Emerald/Broadridge.Core Competencies* Ability to perform in a high-volume environment and maintain a flexible work schedule.* Skills in customer focus, collaboration, time management, and organization.* Attention to detail, with proficiency in multitasking, problem-solving, and follow-up.* Working knowledge of Smartsheet, Excel, Word, PowerPoint, Adobe Pro, and BOX.* Effective oral and written communication skills suitable for interacting with individuals at various levels. *Everforth Apex is a world-class IT services company that serves thousands of clients across the globe. When you join Everforth Apex, you become part of a team that values innovation, collaboration, and continuous learning. We offer quality career resources, training, certifications, development opportunities, and a comprehensive benefits package. Our commitment to excellence is reflected in many awards, including ClearlyRateds Best of Staffing in Talent Satisfaction in the United States and Great Place to Work in the United Kingdom and Mexico.**Everforth Apex uses a virtual recruiter as part of the application process. Click here for more details. By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Everforth Apex and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy at https://www.apexsystems.com/privacy-policy**Everforth Apex Benefits Overview: Everforth Apex offers a range of supplemental benefits, including medical, dental, vision, life, disability, and other insurance plans that offer an optional layer of financial protection. We offer an ESPP (employee stock purchase program) and a 401K program which allows you to contribute typically within 30 days of starting, with a company match after 12 months of tenure. Everforth Apex also offers a HSA (Health Savings Account on the HDHP plan), a SupportLinc Employee Assistance Program (EAP) with up to 8 free counseling sessions, a corporate discount savings program and other discounts. In terms of professional development, Everforth Apex hosts an on-demand training program, provides access to certification prep and a library of technical and leadership courses/books/seminars once you have 6+ months of tenure, and certification discounts and other perks to associations that include CompTIA and IIBA. Everforth Apex has a dedicated customer service team for our Consultants that can address questions around benefits and other resources, as well as a certified Career Coach. You can access a full list of our benefits, programs, support teams and resources within our ‘Welcome Packet’ as well, which an Everforth Apex team member can provide.**Everforth Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Everforth Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law.**If you require an accommodation under the Americans with Disabilities Act to participate in an interview with a virtual recruiter or to use our website for a search or application, please contact our Benefits Department at [email protected] or 804-523-8228. Please note that this contact information is strictly to be used for medical ADA accommodations and that no other inquiries will be answered.**UnitedHealthcare creates and publishes the Transparency in Coverage Machine-Readable Files on behalf of Everforth Apex Systems.*VEVRAA Federal Contractor.