Senior Advertising Supervision Principal

Adweek; Tempe (AZ); Hybrid; USD 48,000 - 55,000; Full time

Job summary

TEKsystems is seeking an Advertising Supervision Principal to join its compliance team in Tempe, AZ, with a hybrid work arrangement (2-3 days onsite). The role reviews and approves marketing materials from advisors and internal teams to ensure FINRA, SEC, and state regulatory compliance.

The successful candidate will hold Series 7 and Series 24 licenses, have strong regulatory knowledge, and excel in cross-functional collaboration in a fast-paced financial services environment.

Qualifications

• 3+ years of financial services compliance experience focused on advertising review.
• Active Series 7 and Series 24 licenses.
• Strong FINRA, SEC, and state regulatory knowledge.
• Experience reviewing advisor-created marketing materials.
• Client-facing with stakeholder management skills.
• Excellent verbal and written communication.
• Attention to detail and ability to manage multiple priorities.
• Proficiency with Microsoft Office applications (Excel, Word, PowerPoint).

Responsibilities

• Review and approve advisor and corporate marketing materials, ads, and public communications.
• Ensure communications comply with FINRA, SEC, state rules, and internal policies.
• Provide redline edits and compliance guidance to obtain approvals.
• Partner with advisors and internal teams on marketing initiatives and compliance.
• Research and address potential policy violations and compliance concerns.
• Support regulatory inquiries, examinations, and audit requests.
• Participate in policy updates, departmental initiatives, and training.
• Balance compliance requirements with business objectives while maintaining service.

Skills

Series 7

Series 24

FINRA Regulations

SEC Regulations

Marketing Compliance

Advertising Review

Communication

Stakeholder Management

Attention to detail

Microsoft Office

Education

Bachelor's degree

Tools

FMG

Snappy Kraken

AdvisorStream

Job description

Advertising Supervision Principal

Location: Fort Mill, SC or Tempe, AZ (Hybrid: 2-3 days onsite)

Employment Type: Contract-to-Hire

Overview

Our client is seeking a Advertising Supervision Principal to join its Supervision team. This role is responsible for reviewing and approving marketing and advertising materials submitted by financial advisors and internal business partners to ensure compliance with industry regulations and firm policies. The ideal candidate will bring strong regulatory knowledge, excellent communication skills, and experience partnering with advisors in a fast-paced financial services environment.

Key Responsibilities

• Review and approve advisor and corporate marketing materials, advertisements, and public communications.
• Ensure communications comply with applicable FINRA, SEC, state regulatory requirements, and internal policies.
• Provide redline edits and compliance guidance to help stakeholders achieve approval.
• Partner with financial advisors and internal teams regarding marketing initiatives and compliance requirements.
• Research and address potential policy violations and compliance concerns.
• Support regulatory inquiries, examinations, and audit requests.
• Participate in policy updates, departmental initiatives, and training efforts.
• Maintain a high level of service while balancing compliance requirements and business objectives.

Required Qualifications

• 3+ years of financial services compliance experience with a focus on advertising or marketing review.
• Active Series 7 and Series 24 licenses.
• Strong knowledge of FINRA, SEC, and state rules and regulations.
• Experience reviewing advisor-created marketing materials and communications.
• Experience in a client-facing environment with strong stakeholder management skills.
• Excellent verbal and written communication skills.
• Strong attention to detail and the ability to manage multiple priorities in a fast-paced environment.
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.

Preferred Qualifications

• Bachelor's degree.
• Active Series 66 license (or Series 63 and Series 65 combination).
• Experience with advisor marketing platforms such as:
  • FMG
  • Snappy Kraken
  • AdvisorStream
• Experience supporting bank or credit union advisor programs.

Types of Materials Reviewed

• Websites
• Business cards
• Newsletters
• Brochures
• Seminar materials
• Public communications
• Social media content
• Advisor marketing campaigns

Soft Skills

• Strong customer service and relationship management abilities.
• Ability to communicate compliance decisions professionally and tactfully.
• Experience de-escalating challenging conversations while maintaining positive advisor relationships.
• Strong organizational, analytical, and problem-solving skills.
• Collaborative, team-oriented approach with a service-focused mindset.

Top Skills

• Series 7
• Series 24
• Marketing Compliance
• Advertising Review
• FINRA Regulations
• SEC Regulations
• Financial Services Compliance
• Communication Review
• Stakeholder Management
• Regulatory Compliance

Target Backgrounds

• Advertising Compliance Principal
• Marketing Compliance Analyst
• Compliance Officer
• Advertising Review Principal
• Regulatory Compliance Analyst
• Communications Review Specialist
• Financial Services Compliance Professional
• Marketing Review Specialist
• Broker-Dealer Compliance Professional
• Supervision Principal

Job Type & Location

This is a Contract to Hire position based out of Tempe, AZ.

Pay and Benefits

The pay range for this position is $35.00 - $40.00/hr.

Individual compensation offered for this position within this range will depend on many factors, including qualifications, skills, relevant experience, job knowledge, geographic location, internal equity, and other pertinent job-related factors.

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:

• Medical, dental & vision
• Critical Illness, Accident, and Hospital
• 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
• Life Insurance (Voluntary Life & AD&D for the employee and dependents)
• Short and long-term disability
• Health Spending Account (HSA)
• Transportation benefits
• Employee Assistance Program
• Time Off/Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a hybrid position in Tempe,AZ.

Application Deadline

This position is anticipated to close on Aug 28, 2026.

About TEKsystems

We’re partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

San Francisco Fair Chance Ordinance: Pursuant to the San Francisco Fair Chance Ordinance, for all positions located in the city and county of San Francisco, we will consider for employment qualified applicants with arrest and conviction records.

Massachusetts Lie Detector: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Use of Artificial Intelligence (AI): We may use Artificial Intelligence (AI) to support parts of our hiring process, including sourcing, screening, and evaluating candidates. AI helps assess applications and qualifications, but final decisions are made by our hiring team. By applying, you acknowledge and agree that your application may be reviewed using AI tools.