Senior Marketing Compliance Lead (Remote)

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

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.