State Licensed Compliance Principal

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