Senior Advertising Supervision Principal

📋 Description

• Review advertising materials and other communications with the public, making principal approval
• Consult directly with financial advisors and other stakeholders regarding marketing initiatives
• Research and address situations where internal policies or applicable regulatory requirements may
• Support research and responses to regulatory inquiries, including matters associated with branch
• Contribute to departmental initiatives such as policy updates, training programs, process
• Manage multiple assignments and priorities in a high-volume environment while maintaining strong

🎯 Requirements

• At least 3 years of experience in financial services combined with advertising or marketing
• Previous experience in a client-facing position is important, with the ability to build effective
• Strong communication skills are essential, including the ability to discuss complex regulatory or
• Working knowledge of FINRA, SEC, and applicable state rules and regulations is required, with the
• 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

🎁 Benefits

• Competitive annual base salary ranging from $74,057 to $123,497, with actual compensation
• Competitive total rewards designed to support employees professionally and personally, including
• 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.