What are the responsibilities and job description for the Supervisory Principal - Marketing Regulatory Review position at Associate Staffing?
The Company:
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing:
The Supervisory Principal role is focused on ensuring marketing, advertisement, and communications materials comply with industry regulations and firm policies. This position involves reviewing marketing materials for financial advisors joining and providing guidance on compliance.
Qualifications:
- Licenses/Certifications Required: FINRA Series 7, 24 (bonus if you have the 63 or 66)
- Minimum of 2 years of direct licensed experience
- Experience reviewing any marketing/advertising materials for advisors is required for this position
- Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio
Equal Opportunity Employer:
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.