Marketing Compliance Specialist

Onboarding Advisor Communications Supervisory Principal

Location: Remote | Full-Time

A leading national financial services firm is seeking an Onboarding Advisor Communications Supervisory Principal to join its growing Compliance and Supervision team. This individual will play a key role in supporting financial professionals as they transition to the firm, serving as the first point of contact for marketing and communications regulatory review.

The ideal candidate will bring a blend of marketing compliance expertise, strong interpersonal skills, and a collaborative mindset, ensuring materials meet regulatory standards while enabling advisors to communicate effectively with clients.

Key Responsibilities

• Review and approve marketing materials and public communications for financial professionals and their staff prior to affiliation.

• Provide regulatory guidance and recommendations that help achieve principal approval.

• Collaborate cross-functionally with internal teams and occasionally with advisors on marketing and compliance matters.

• Support the intake and tracking of marketing materials for principal review.

• Participate in department projects and other compliance initiatives as assigned.

What We’re Looking For

We’re looking for collaborative, detail-oriented professionals who thrive in a fast-paced environment and are passionate about delivering an exceptional advisor experience. The right candidate will demonstrate integrity, strong communication skills, and a drive for continuous improvement.

Qualifications

• 3+ years of experience in financial services with a focus on advertising/marketing compliance review

• Strong knowledge of FINRA, SEC, and state regulations

• Prior client-facing or consultative experience — confident explaining complex regulatory concepts in a clear, approachable way

• Licenses Required: Series 7 and 24

• Proficiency with Excel, Word, PowerPoint, Adobe Pro, and Smartsheet

• Excellent written and verbal communication, time management, and problem-solving skills

• Ability to manage multiple priorities in a high-volume environment

Preferred Qualifications

• Series 66  (or 63 and 65 preferred )

• Bachelor’s degree

Core Competencies

Customer Focus • Collaboration • Time Management • Organization • Communication Excellence • Attention to Detail • Problem Solving