Job Details

A company is looking for a Sr. Advisor Communications & OBA Supervisory Principal.Key ResponsibilitiesEvaluate and approve marketing materials and public communicationsReview outside business activities and private securities transactions for complianceConsult with advisors on marketing initiatives and regulatory inquiriesRequired Qualifications3+ years of financial services and advertising/marketing compliance review experiencePrior experience in a client-facing roleStrong knowledge of FINRA, SEC, and State rules and regulationsLicensing Requirement: Series 7, 24Bachelor's Degree preferred