Remote Advertising Compliance Principal (FINRA)

TEKsystems; Charlotte (NC); On-site; USD 62,000 - 66,000; Full time

Benefits offered by this job

Medical, dental & vision

401(k) Retirement Plan

Job summary

TEKsystems is seeking experienced Advertising Principals to review and approve advisor marketing materials in a FINRA-regulated environment. You will work with financial advisors to ensure regulatory compliance while delivering strong client service.

The role is remote through December (potential extension) with the position based out of Charlotte, NC. Required licenses include Series 7 and Series 24, with preferred experience in banking or credit union channels.

Qualifications

• Active Series 7 license required.
• Active Series 24 license required.
• Contract position based in Charlotte, NC; remote through December.

Responsibilities

• Review and approve advisor communications for FINRA compliance.
• Provide compliant alternatives to advisors during reviews.
• Redline marketing content and ensure regulatory adherence.
• Collaborate with stakeholders to resolve compliance concerns.
• Maintain high standards of client service and clear communication.

Skills

Strong communication

Attention to detail

Regulatory compliance

Client-facing

Writing skills

Education

FINRA licenses Series 7/24

Job description

TEKsystems is seeking experienced Advertising Principals to review and approve advisor marketing materials in a FINRA-regulated environment. You will work with financial advisors to ensure regulatory compliance while delivering strong client service.

The role is remote through December (potential extension) with the position based out of Charlotte, NC. Required licenses include Series 7 and Series 24, with preferred experience in banking or credit union channels.