Marketing Supervisory Principal - Remote

Overview

The Marketing Supervisory Principal serves as a marketing expert within the supervisory team, responsible for reviewing and approving brokerage and advisory communications in compliance with relevant regulations.

In Short

• Serve as a marketing expert and resource for various departments.
• Review and provide guidance on communications with the public.
• Ensure compliance with FINRA, SEC, and state regulations.
• Interact with branch staff and marketing personnel.
• Conduct reviews of marketing and advertising communications.
• Stay current on industry and regulatory updates.
• Assist in developing training related to communications.
• Ability to assess risk and propose solutions.
• Strong organizational skills and attention to detail.
• Team player with professional demeanor.

Requirements

• Bachelor’s degree in finance, accounting, or business-related field.
• Relevant industry exams (FINRA SIE, Series 7, etc.).
• Knowledge of advertising and communication rules.
• Prior experience in reviewing broker/dealer communications preferred.
• Strong written and oral communication skills.
• Ability to apply rules independently and consistently.
• High understanding of software capabilities (Word, Excel, etc.).
• Good time-management skills and self-starter.
• Ability to maintain client confidentiality.
• Willingness to travel occasionally.

Benefits

• Competitive salary plus excellent benefits.
• Medical, Dental, and Vision coverage.
• 401(k) and ESOP contributions.
• Generous leave policies.
• Professional development opportunities.
• Tuition reimbursement up to $15,000.
• Discounted personal insurance.
• Charitable gift-matching program.
• Davidson Day of Giving initiative.