Supervision and Communications Principal

First Command; Fort Worth (TX); On-site; USD 75,000 - 95,000; Full time

Job summary

First Command is seeking a Supervision and Communications Principal in Fort Worth, TX. This responsible role involves ensuring compliance in marketing materials, social media activity, and digital communications per regulatory standards. The ideal candidate has 3-5 years of supervisory experience, a Bachelor's degree, and must possess or be able to obtain FINRA licenses. A commitment to quality, time management, and analytical skills are essential for success in this role.

Qualifications

• 3-5 years of experience supervising digital communications and social media.
• Mandatory possession of FINRA Series 7, 24, and 66 licenses.

Responsibilities

• Monitor and review marketing materials and communications.
• Conduct compliance duties for social media and digital communications.
• Review and approve internal and external content for compliance.

Skills

FINRA and SEC compliance

Strong decision-making

Attention to detail

Time-management

Analytical communication

Education

Bachelor’s Degree in related field

Job description

Supervision and Communications Principal

Job Location

Fort Worth, TX

Tracking Code

500551 EX 09

Position Type

Full-Time/Regular

How will this role impact First Command?

The Supervision and Communications Principal is responsible for monitoring and reviewing marketing materials, social media activity, digital communications, and online conduct. The Supervision and Communications Principal ensures that activity conforms to the First Command brand and adheres to the firm’s guidelines, FINRA, SEC, and state and federally mandated rules and regulations.

What will you do in this role?

• Conduct supervisory and compliance duties, including regularly monitoring and reviewing First Command digital communications and branded social media sites through ongoing supervision of registered representatives’ social media presence to support reputation and compliant management processes.
• Collaborate with the Associate Director, Marketing Principal, and members of the Legal and Compliance teams to carry out and continuously improve the processes and procedures related to marketing, social media and digital communications.
• Diplomatically communicate concerns, proactively assist in correcting materials and communications to make them compliant within regulatory standards and internal policies.
• Utilize and maintain the Social Media, Digital Communications, and Website Surveillance Solution:
• Review and approve social media profiles for First Command business purposes.
• Decommission participants when the business need no longer exists.
• Work with personnel to identify any exception and develop a remedial action plan.
• Conduct expeditious and effective review of internal and external content for brand, reputation, and regulatory compliance.
• Provide principal review and approval of one-time-use items submitted by Advisors and/or their staff members.
• Perform principal supervisory review of electronic communications to ensure compliance with all applicable regulations, as well as company policies and procedures, and provide support for internal and external audit requests as needed.
• Provide field‑force support through training and education on regulatory matters, firm policies, procedures, and licensing issues.
• Monitor Salesforce cases daily and respond as needed.
• Identify and recommend ideas for process and procedure improvements.
• Be a thought leader by building and maintaining productive working relationships across the organization.
• Encourage an atmosphere of service, trust, and teamwork among the Supervision Team, field force, and internal business partners through effective communication skills.
• Assist with tasks, projects, and other duties as required.

What skills & qualifications do you need?

Education

• Bachelor’s Degree required in a related field (industry experience may be considered).

Work Experience

• 3-5 years of experience in the following areas:
• FINRA and SEC compliance
• Supervision of digital communications, social media, marketing, and advertising
• Supervision of registered personnel
• Experience as a Financial Advisor preferred.

Certifications

• Must possess FINRA Series 7, 24, and 66 licenses or be able to obtain them within 90 days post‑hire.
• Must have an appropriate Life and Health Agent license or be able to obtain it within 90 days post‑hire.

Required Knowledge, Skills and Abilities

• Ability to take initiative and work independently.
• Strong decision‑making ability and attention to detail.
• Outstanding time‑management and organizational skills; able to operate in a fast‑paced environment and make sound business judgments quickly.
• Detailed knowledge of the Written Supervisory Procedures (WSP) and the Compliance Manual (CM).
• Ability to execute at a high level with excellent quality and contribute to a high‑performance team.
• Strong analytical written and verbal communication skills for resolving problems.
• Encourage an atmosphere of service, trust, openness, communication, and collaboration to achieve mutual objectives.
• Intellectually curious and model a culture of continuous learning, mentoring, and coaching while encouraging an agile way of working.

Legal Disclaimer

Investment and insurance products are not deposits, are not insured by the FDIC, and may lose value. A financial plan, by itself, cannot assure that retirement or other financial goals will be met.