Marketing & Advertising Compliance Supervisory Principal - FINRA Series 7 & 24

Our client is seeking experienced Advertising Principals to support the

review and approval of advisor marketing and advertising materials in a

FINRA-regulated environment. This role will work directly with financial

advisors to ensure communications meet regulatory requirements while

maintaining a strong client service approach.

Location

Remote through December unless extended until Jan/Feb

Candidates located in or near the following locations will receive

consideration for future full-time opportunities:

• Fort Mill, SC
• Tempe, AZ

Key Responsibilities

Review and approve a variety of advisor communications and marketing

materials, including:

• Websites
• Business cards
• Newsletters
• Brochures
• Seminar materials
• Publications and books
• Public communications
• Select social media content

Responsibilities include:

• Reviewing and redlining marketing content
• Ensuring compliance with FINRA regulations
• Providing guidance and compliant alternatives to advisors
• Partnering with stakeholders to resolve compliance concerns
• Maintaining strong client service and communication standards

Required Licenses

• Active Series 7
• Active Series 24

Note: Series 9/10 does not substitute for Series 24.

Preferred Experience

Strong preference for candidates with experience reviewing:

• Advisor-created marketing materials
• Advertising and marketing communications
• FINRA-regulated communications
• Compliance-related content edits and redlines

Highly Desired Platform Experience

• FMG
• Snappy Kraken
• AdvisorStream

Alternative Experience Considered

Candidates without direct advertising review experience may still be

considered if they possess experience in:

• Outside Business Activity (OBA) reviews
• Electronic communications review
• Banking marketing compliance review
• Credit union marketing compliance review
• Corporate communications compliance review

Preferred Additional Licenses

• Series 63
• Series 65
• Series 66

Specialized Team Opportunity

One team specifically supports banking and credit union channels.

Candidates with experience reviewing marketing materials for:

• Bank-employed financial advisors
• Financial advisors operating within bank or credit union programs are strongly encouraged to apply.

Training & Onboarding

New hires will participate in a structured onboarding program that

includes:

• Self-study modules
• Instructor-led sessions
• Training videos
• Job shadowing

Following training, candidates will complete supervised review exercises

and receive coaching and feedback to ensure success in the role.

Desired Soft Skills

Successful candidates will demonstrate:

Strong Communication Skills

• Professional writing abilities
• Excellent grammar and attention to detail
• Ability to communicate complex compliance requirements clearly
• Client-facing professionalism

Advisor Relationship Management

• Ability to de-escalate challenging situations
• Tactful delivery of compliance feedback
• Collaborative problem-solving approach
• Service-oriented mindset
• Ability to offer compliant alternatives rather than simply rejecting content

Interview Process

• One 30-minute virtual interview
• Camera required
• May be conducted as a panel interview

Job Type & Location

This is a Contract position based out of Tempe, AZ.

The pay range for this position is $45.00 - $48.00/hr.

Individual compensation offered for this position within this range will depend on many factors, including qualifications, skills, relevant experience, job knowledge, geographic location, internal equity, and other pertinent job-related factors.

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: • Medical, dental & vision • Critical Illness, Accident, and Hospital • 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available • Life Insurance (Voluntary Life & AD&D for the employee and dependents) • Short and long-term disability • Health Spending Account (HSA) • Transportation benefits • Employee Assistance Program • Time Off/Leave (PTO, Vacation or Sick Leave)

This is a fully remote position.

This position is anticipated to close on Sep 7, 2026.

About TEKsystems

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

San Francisco Fair Chance Ordinance: Pursuant to the San Francisco Fair Chance Ordinance, for all positions located in the city and county of San Francisco, we will consider for employment qualified applicants with arrest and conviction records.

Massachusetts Lie Detector: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Use of Artificial Intelligence (AI): We may use Artificial Intelligence (AI) to support parts of our hiring process, including sourcing, screening, and evaluating candidates. AI helps assess applications and qualifications, but final decisions are made by our hiring team. By applying, you acknowledge and agree that your application may be reviewed using AI tools.