What are the responsibilities and job description for the Sr. Advertising Compliance Principal position at TechMagic with Cathy Hackl?
Senior Distribution Compliance Principal
Company Overview
Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship-driven culture to redefine the value proposition for our clients. Paralel Distributors LLC (“Paralel” or the “Firm”) is a registered limited purpose broker-dealer affiliated with Paralel Technologies.
Role Overview
Paralel is seeking an experienced Senior Distribution Compliance Principal to join a growing broker-dealer supporting a diverse and expanding asset management client base. This is a highly visible, client-facing role for a compliance professional who enjoys solving complex regulatory questions, partnering with clients, and helping shape scalable compliance practices in a technology-driven organization. The ideal candidate will be responsible for reviewing and approving marketing and advertising materials to ensure compliance with FINRA and SEC regulations, and other applicable industry standards. This role requires a deep understanding of financial product marketing, regulatory guidelines, and risk assessment to support our clients’ advertising initiatives while maintaining compliance integrity.
Job Responsibilities
Marketing & Advertising Review
Act of 1933, and the SEC Marketing Rule
Compensation Range
Skills, And Abilities.
Other Compensation:
Our benefits reflect our commitment to investing in your health, career, and future.
All qualified applicants will receive consideration for employment without regard to race,
color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran
status.
Company Overview
Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship-driven culture to redefine the value proposition for our clients. Paralel Distributors LLC (“Paralel” or the “Firm”) is a registered limited purpose broker-dealer affiliated with Paralel Technologies.
Role Overview
Paralel is seeking an experienced Senior Distribution Compliance Principal to join a growing broker-dealer supporting a diverse and expanding asset management client base. This is a highly visible, client-facing role for a compliance professional who enjoys solving complex regulatory questions, partnering with clients, and helping shape scalable compliance practices in a technology-driven organization. The ideal candidate will be responsible for reviewing and approving marketing and advertising materials to ensure compliance with FINRA and SEC regulations, and other applicable industry standards. This role requires a deep understanding of financial product marketing, regulatory guidelines, and risk assessment to support our clients’ advertising initiatives while maintaining compliance integrity.
Job Responsibilities
Marketing & Advertising Review
- Review and approve communications across multiple channels and investment products.
- Interpret and apply FINRA and SEC requirements to new products, marketing concepts and evolving distribution strategies.
- Serve as a trusted compliance partner to asset management clients.
- Identify opportunities to improve and automate compliance workflows. Regulatory Compliance & Risk
- Contribute to the continued development of the firm's supervisory and compliance framework.
- Assist in the preparation of standard materials for board meetings.
- Exposure to a broad range of broker-dealer compliance and distribution activities and opportunities to expand responsibilities based on experience, interests, and the evolving needs of the business.
- Work closely with applicable teams to develop and enhance policies and procedures
- Provide training and ongoing education to external and internal teams on advertising
- Represent or support the firm during regulatory examinations, audits and
- client due diligence reviews.
- Bachelor’s degree
- Active Series 24 license
- A minimum of 3 years of experience in marketing review, preferably within a FINRAregistered
- Strong understanding of securities laws and regulations pertaining to registered
Act of 1933, and the SEC Marketing Rule
- Ability to thrive in a fast-paced, deadline-driven environment while managing
- Excellent attention to detail and ability to communicate complex regulatory
- An exceptional team player with strong ability to communicate with a wide and
Compensation Range
- $80,000 - $115,000
Skills, And Abilities.
Other Compensation:
- Performance bonus eligible
Our benefits reflect our commitment to investing in your health, career, and future.
- Competitive medical, dental, and vision benefits with generous employer
- Paid parental leave
- Company-paid life and disability insurance
- Voluntary supplemental benefits to fit your needs
- 401(k) with employer match
- Unlimited paid time off and 10 paid holidays
- Tuition reimbursement to support professional growth
- On-site gym and yoga studio
- Flexible work environment
- A collaborative, values-driven culture focused on service, teamwork, and community
- October 31, 2026
All qualified applicants will receive consideration for employment without regard to race,
color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran
status.
Salary : $80,000 - $115,000