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Advertising Principal

Phoenix, Arizona
Job Type
14 Jul 2022

Compliance & Risk Opportunity in Financial Services

Advertising Principal

Preferred Location: 20 E Thomas Road, Phoenix, AZ 85012

Qualified candidates in all locations and remote encouraged to apply


The Advertising Principal reviews retail, internal and external communications to ensure compliance with applicable SEC and FINRA rules and internal policies. The Advertising Principal will manage a specific regional territory developing and maintaining relationships with the financial advisors in the region. This position will assist with compliance projects including participating in regulatory examinations, corporate marketing, providing guidance and reviews to transitioning advisors, reviewing professional designations, conducting due diligence on proposed third party marketing vendors, managing the pre-approved advertising library for the firm, reviewing new product sales literature, and report and document unapproved advertising


  • Apply SEC and FINRA advertising regulations applicable to communications with the public.
  • Serve as a subject matter expert to financial advisors on matters pertaining to advertising compliance. Assist internal business partners to understand and comply with advertising laws, rules and regulations.
  • Interact with management and other supervisory/compliance personnel on escalated issues to ensure marketing materials are compliant with advertising requirements and industry best practices.
  • Maintain effective working relationships with areas across the organization as well as with regulators. Submit filings to FINRA as required.
  • Maintain quality customer relations with emphasis on service, quality and support of business objectives.
  • Work independently to ensure department deadlines are met and service levels are maintained.
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • FINRA Series 7 and Series 24 (or Series 8 or Series 9/10) required
  • Minimum 2 years' experience in a principal capacity
  • Basic understanding of FINRA and SEC rules regarding communications with the public in order to effectively review items concerning securities and investment advisory services.
  • Understanding of financial products (variable products, mutual funds, alternative investments, etc.) and mainstream investment strategies used by financial advisors.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
  • Excellent analytical and problem-solving skills
  • Ability to work in a time-sensitive environment and provide client support during extended hours as needed.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors with their marketing efforts.
  • Ability to read and interpret documents including firm policy and procedures and FINRA and SEC regulatory documents.

Preferred Requirements:

  • FINRA Series 66 (or Series 63 / 65) preferred.
  • Experience at an independent broker-dealer is preferred.
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  • Job Reference: 658122936-2
  • Date Posted: 14 July 2022
  • Recruiter: Advisor Group
  • Location: Phoenix, Arizona
  • Salary: On Application
  • Sector: Advert / Media / Entertainment
  • Job Type: Permanent