Senior Advertising Supervision Principal

Job description

**This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Advertising Supervision Principal based in United States.** This role is responsible for reviewing and approving advertising and marketing communications used by financial advisors and internal teams. You will apply your knowledge of financial services regulations to evaluate materials, provide clear guidance, and help stakeholders navigate compliance requirements. The position combines regulatory expertise with a strong client-service mindset, requiring frequent communication with advisors and business partners. You will also contribute to regulatory inquiries, branch examinations, policy updates, and training initiatives. Working in a fast-paced, high-volume environment, you will balance multiple priorities while maintaining accuracy and sound judgment. This is an opportunity to play a meaningful role in protecting clients and supporting compliant, effective financial communications. ### Accountabilities: - Review advertising materials and other communications with the public, making principal approval decisions or providing actionable guidance on changes required for approval. - Consult directly with financial advisors and other stakeholders regarding marketing initiatives, explaining compliance expectations and helping them develop appropriate communications. - Research and address situations where internal policies or applicable regulatory requirements may not have been followed, using sound judgment to determine appropriate next steps. - Support research and responses to regulatory inquiries, including matters associated with branch examinations, while ensuring information is accurate, complete, and appropriately documented. - Contribute to departmental initiatives such as policy updates, training programs, process improvements, and other activities designed to strengthen advertising supervision and compliance practices. - Manage multiple assignments and priorities in a high-volume environment while maintaining strong attention to detail, timely follow-up, and consistent service quality. - Take on additional tasks and projects as needed, collaborating effectively with colleagues and stakeholders across different levels of the organization. ### Requirements - At least 3 years of experience in financial services combined with advertising or marketing compliance review experience is required. - Previous experience in a client-facing position is important, with the ability to build effective relationships and provide a high level of service to financial professionals and internal stakeholders. - Strong communication skills are essential, including the ability to discuss complex regulatory or compliance matters clearly and concisely, explain the rationale behind decisions, ask effective open-ended questions, and guide productive conversations by phone and other channels. - Working knowledge of **FINRA, SEC, and applicable state rules and regulations** is required, with the ability to apply regulatory requirements when reviewing marketing and public communications. - **Series 7 and Series 24 licenses** are required. A **Series 66**, or Series 63 and 65, is preferred. - The ability to perform effectively in a fast-paced, high-volume environment and adapt to changing work schedules and priorities is essential. - Strong customer focus, collaboration, time management, organization, problem-solving, follow-up, and attention to detail are expected, together with excellent written and verbal communication skills. - Working knowledge of **Microsoft Excel, Word, and PowerPoint** is required, along with the ability to communicate effectively with individuals at different organizational levels. - A **Bachelor’s degree** is preferred, along with a demonstrated commitment to integrity, continuous improvement, teamwork, and delivering strong client experiences. ### Benefits - Competitive annual base salary ranging from **$74,057 to $123,497**, with actual compensation determined by factors including relevant skills, experience, education, internal equity, performance, and geographic location. - Competitive total rewards designed to support employees professionally and personally, including **401(k) matching** and other financial benefits. - **Health benefits** to support physical and overall wellbeing. - **Employee stock options**, providing an opportunity to participate in long-term company value creation. - **Paid time off** to support rest, personal needs, and work-life balance. - **Volunteer time off** to encourage community involvement and social impact. - A collaborative, team-oriented environment that values integrity, customer focus, continuous improvement, creativity, and shared success. - Opportunities to contribute to meaningful compliance, policy, and training initiatives while working closely with financial advisors and business stakeholders.