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.
Join a fast-paced, compliance-focused team as a Supervisory Principal – Social Media Review. In this fully remote role, you will supervise and review financial advisors’ social media and digital communications to help ensure everything meets regulatory requirements, firm policies, and advertising standards. This is a high-impact opportunity to provide clear guidance, identify compliance risks early, and support advisors in building client-facing content that’s accurate, consistent, and compliant.
Required Skills
- 3+ years of financial services experience with advertising/marketing compliance review using FINRA 2210 for advisor-created content
- Strong knowledge of FINRA 2210, SEC, and applicable State rules governing communications with the public
- Series 7 and Series 24 licensing (required)
- Ability to deliver client-facing support: confident on the phone, able to explain complex issues and the “why” behind decisions
- Strong supervisory discipline: attention to detail, documentation/recordkeeping, and excellent follow-up in a high-volume environment
Nice to Have Skills
- Prior review experience with FMG, Snappy Kraken, and Emerald/Broadbridge systems
- Experience reviewing marketing materials such as institutional vs. advisor content
- Additional licensing: Series 63 and/or 66 (preferred)
- Demonstrated ability to work within a fast-paced schedule with flexibility during initial training
- Comfort supporting ongoing supervision workflows through structured tools and reporting
Preferred Education and Experience
- Bachelor’s degree preferred
- 3+ years in financial services with advertising/marketing compliance supervision/review experience
Other Requirements
- Licensing requirement: Series 7 and Series 24
- Licensing preference: Series 66 (or Series 63 and 65)
- Work model: Fully remote
- Schedule note: No time zone requirement; training during the first 4–6 weeks may follow a specific time zone schedule
Equal Opportunity Employer:
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.