Opportunity Description
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 re...
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