State Licensed Compliance PrincipalVirtualVocations • Chandler, Arizona, United States
State Licensed Compliance Principal
VirtualVocations • Chandler, Arizona, United States
Hace 4 días
Tipo de contrato
- A tiempo completo
Descripción del trabajo
A company is looking for a Senior Advisor Communications & OBA Supervisory Principal.
Key Responsibilities
Evaluate and approve marketing materials and public communications
Review outside business activities and private securities transactions for compliance
Consult with advisors on marketing initiatives and regulatory inquiries
Required Qualifications
3+ years of financial services and advertising / marketing compliance review experience
Prior experience in a client-facing role
Strong knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement : Series 7, 24
Bachelor's Degree Preferred
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Principal Compliance • Chandler, Arizona, United States
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