Remote FINRA Advertising Compliance Lead (Series 7/24)

Adweek; Tempe, Northern (AZ, KY); Hybrid; USD 62,000 - 66,000; Full time

Benefits offered by this job

Medical, dental & vision

401(k) Retirement Plan

Life Insurance

Short and long-term disability

Health Spending Account (HSA)

Transportation benefits

Employee Assistance Program

Time Off/Leave

Job summary

TEKsystems is seeking experienced Advertising Principal professionals to review and approve advisor marketing materials in a FINRA-regulated environment. This contract role collaborates with financial advisors to ensure compliance while delivering strong client service.

Remote through December, with Tempe, AZ as an alternate consideration; candidates with Series 7/24 and FINRA experience are preferred. Training provided; panel interviews may apply.

Qualifications

• Strong written and verbal communication skills with attention to regulatory details.
• Ability to explain complex compliance requirements clearly to financial advisors.
• Experience presenting compliant feedback to clients.
• Experience reviewing FINRA-regulated materials is preferred.

Responsibilities

• Review and approve advisor marketing content for FINRA compliance.
• Provide guidance and compliant alternatives to advisors.
• Collaborate with stakeholders to resolve compliance concerns.
• Maintain high level of client service and communication.

Skills

Communication skills

Professional writing

Attention to detail

Client-facing professionalism

De-escalation

Job description

TEKsystems is seeking experienced Advertising Principal professionals to review and approve advisor marketing materials in a FINRA-regulated environment. This contract role collaborates with financial advisors to ensure compliance while delivering strong client service.

Remote through December, with Tempe, AZ as an alternate consideration; candidates with Series 7/24 and FINRA experience are preferred. Training provided; panel interviews may apply.