Supervisory Principal - Marketing Regulatory Review
Associate Staffing
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.
The Supervisory Principal role is focused on ensuring marketing, advertisement, and communications materials comply with industry regulations and firm policies. This position involves reviewing marketing materials for financial advisors joining and providing guidance on compliance. Qualifications:
- Licenses/Certifications Required: FINRA Series 7, 24 (bonus if you have the 63 or 66)
- Minimum of 2 years of direct licensed experience
- Experience reviewing any marketing/advertising materials for advisors is required for this position
- Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio
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.
Vacancy posted 19 hours ago
Similar jobs that could be interesting for youBased on the Supervisory Principal - Marketing Regulatory Review in Fort Mill, York County, SC vacancy
$62.73k - $104.55k
...clients pursue their financial goals.The Supervisory Principal, as part of the Complex Product... ...requirements of supervision set forth by regulatory agencies and the Firm. The Supervisory... ...assigned.Responsibilities:Suitability review and approval of transactions in certain...PrincipalRegulatoryWork at officeWork from homeFlexible hoursLPL Financial
Fort Mill, York County, SC12 hours ago- ...financial services firm in Fort Mill, SC, is seeking a Supervisory Principal to ensure compliance of marketing and communication materials. The ideal candidate... ...and holds FINRA certifications. This role involves reviewing advisors' marketing materials while guiding...Regulatory
- ...LPL Financial LLC is seeking a Supervisory Principal to join their team in Fort Mill, SC. This role involves supervising complex product transactions and ensuring compliance with regulatory standards. The ideal candidate will possess a degree in a related field, along...PrincipalRegulatory
LPL Financial
Fort Mill, York County, SC12 hours ago $155.94k - $259.87k
...Job Overview LPL Financial is seeking a Principal Architect to provide architecture leadership... ...teams to ensure architectures support regulatory expectations, operational transparency,... ...design patterns, and decision records. Review and influence solution designs to ensure...PrincipalRegulatoryContract workLPL Financial
Fort Mill, York County, SC3 days ago$104.65k - $174.48k
...financial goals. The AVP, Supervisory Controls Governance & Change... ..., issue management, and regulatory change. This person should be... ...routines to ensure documents are reviewed, updated, approved, and... ...to apply to this position. Principals only. EOE. Information on...RegulatoryWork from homeLPL Financial Holdings, Inc.
Fort Mill, York County, SC3 days ago$135.75k - $226.19k
...Marketing and Electronic Communication Compliance Officer Lead... ...compliant. The role also reviews and monitors marketing guidelines... ...and activities meet regulatory and internal risk standards... ...to apply to this position. Principals only. EOE. Information on...RegulatoryWork from homeLPL Financial
Fort Mill, York County, SC2 days ago- ...LPL Financial LLC is seeking a Marketing and Electronic Communication Compliance Officer to lead compliance strategies for digital marketing... ...is crucial in ensuring all marketing activities adhere to regulatory standards and effectively managing reputational risk....Regulatory
LPL Financial
Fort Mill, York County, SC11 hours ago $154.71k - $257.91k
...enhancements. Ensure alignment of cloud security technologies with regulatory, audit, governance, and operational requirements. Provide... ...Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only...PrincipalRegulatoryWork from homeLPL Financial
Fort Mill, York County, SC2 days ago$76.84k - $128.13k
...Overview Senior Marketing Consultant – LPL Financial Managed Program Marketing The role serves... ...the Regional Investment Director to review program marketing goals and plan execution... ...time off, and other benefits. EEO Statement Principals only. EOE. #J-18808-Ljbffr...LPL Financial
Fort Mill, York County, SC1 day ago- ...General Definition of Work The Principal, under minimal supervision, performs... ...Employee performs highly advanced and supervisory work to carry out Board of Education policies... ...knowledge of federal, state, and local regulatory requirements applicable to public...PrincipalRegulatoryFull timeWork at officeLocal area
Rock Hill School District 3
Rock Hill, SC3 days ago - Associate Staffing is seeking a Supervisory Principal in Fort Mill, South Carolina. This role focuses on ensuring compliance of marketing and communication materials within the financial... ...industry. The ideal candidate will review materials for financial advisors and provide...
$168.82k - $281.29k
...Principal Security Architect Where ambition meets innovation Build a career that matches all your initiative with an impressive... ...and policies, aligning them with industry best practices and regulatory requirements while ensuring adaptability to emerging technologies...PrincipalRegulatoryWork from homeFlexible hoursLPL Financial
Fort Mill, York County, SC1 day ago- ...Coordinate inputs from Sales, Technical Service, Supply Chain, Regulatory, Legal, and Operations to ensure product specifications, regulatory... .... Monitor municipal bidding trends, competitor activity, and market conditions. Recommend improvements to bid processes, tools, and...RegulatoryContract work
$103.2k - $129k
...in the global workplace. About the role: As a Principal Welding Engineer you will support the development, implementation... ..., PA facility. Key Responsibilities: Review contract, design, and regulatory requirements to develop project welding specifications....PrincipalRegulatoryContract workFlexible hours2 days per weekWestinghouse Electric Company, LLC
Rock Hill, SC19 hours ago- ...supporting case owners with advanced research, regulatory/high risk exposure complaints and... ...tracking, public portal responses and quality review. Monitor and triage Google/social media... .... Coaching & Team Development (Non‑Supervisory) Provide coaching and feedback to team...RegulatoryWork at office
$75.68k - $126.13k
...Responsibilities Conduct thorough reviews of exception reports... ...sales practice and supervisory concerns, with a focus... ...of industry news, regulatory changes, and firm... ...is a leader in the markets we serve, serving more... ...apply to this position. Principals only. EOE. Information...RegulatoryWork from home$212.75k - $255k
...brands helps customers create products and capture moments that reflect who they uniquely are. The Senior Director, Integrated Marketing leads Shutterfly's enterprise go-to-market (GTM) strategy for customer growth and new customer acquisition. This role defines what...Seasonal workRemote workShutterfly Career Site
Fort Mill, York County, SC4 days ago- ...Position: Marketing and Digital Experience Specialist Location: Fort Mill, SC Job Id: 150 # of Openings: 1 About the Role We are seeking a highly motivated and analytical Marketing & Digital Experience Specialist to help drive digital growth across our websites, campaigns...
Element Designs
Fort Mill, York County, SC12 hours ago - ...customer, drives team performance, and upholds regulatory excellence—ensuring every homeowner... ...concerns and process improvements. Review call trends, data, and service metrics to... ...insights. Qualifications Required: 3+ years of supervisory experience in a customer service or call...RegulatoryWork at officeFlexible hoursAfternoon shift
$78.38k - $130.71k
...LPL Financial LLC is seeking a Senior Internal Auditor to participate in compliance-related internal audits and conduct process reviews. The successful candidate will lead audits, mentor junior staff, and ensure adherence to audit standards. With 3-6 years of relevant...LPL Financial
Fort Mill, York County, SC4 days ago- ...Residents. The ideal candidate will hire and supervise a dedicated team, monitor care standards, and maintain budget goals. Applicants must be licensed as an Adult Home Administrator and possess strong organizational, supervisory, and interpersonal skills. #J-18808-Ljbffr...
Goebel Fixture Company
Fort Mill, York County, SC4 days ago - ...evaluate unit prices in accordance with the market and budget goals* Develop an annual marketing plan and conduct marketing reviews monthly* Obtain bids for all contract... ...experience, or a combination* Successful supervisory experience* 3+ years’ experience in a property...Contract work
- The Senior Digital Marketing Specialist supports the execution of digital marketing strategy by bringing campaigns to life across social media, paid channels, and web platforms. This role blends creative development with performance marketing, translating brand strategy...
- ...of the sales process in accordance with company standards. Report to the Sales Manager regarding objectives, planned activities, reviews, and analyses. REQUIREMENTS Previous dealership experience is a huge plus Comfortable with compensation based on commission sales...
- ...as required by federal, state or local regulatory agencies. Oversees the environmental... ...permitting, and environmental project teams. Reviews and approves siting, environmental, and... ...requires tact and/or diplomacy. SUPERVISORY RESPONSIBILITIES: May act as Team...RegulatoryFor subcontractorWork at officeLocal area
Pike Corporation
Fort Mill, York County, SC1 day ago - Cypress HCM is seeking a Senior Digital Marketing Specialist in Fort Mill, South Carolina. This role is key in executing digital marketing strategy by developing and managing digital content across various platforms, including social media and paid channels. Ideal candidates...
- ...quality, compassionate care in the communities we serve. MARKET SUMMARY South Carolina Group Piedmont Medical Center... ...cost conscious manner, understands key clinical components and regulatory requirements and inspires a culture of compliance. Tenet CSO...RegulatoryFull timeTemporary workPart timeLocal areaImmediate startRelocation package
Other Executive
Rock Hill, SC3 days ago - Job Description Summary of Position The Senior Digital Marketing Specialist plays a key role in supporting the execution of Silfab Solar’s digital marketing strategy by bringing campaigns to life across social media, paid channels, and the web. This role bridges creative...Work at officeWork from homeHome officeFlexible hoursShift work
$78.38k - $130.71k
...responsible for executing compliance‑related internal audits, process reviews, and various ad‑hoc projects as assigned. Responsibilities... ...understanding of Financial Services (Broker/Dealer or RIA) regulatory compliance, and demonstrated ability to evaluate and determine...RegulatoryCurrently hiringLPL Financial
Fort Mill, York County, SC4 days ago- ...of your resume to [email protected] . Position Overview Our marketing team is looking for an experienced copywriter who can create content... ...creative quality. Serve as a content quality gatekeeper - reviewing, refining, and elevating copy across touchpoints....Contract workWork experience placementCurrently hiringRemote work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Supervisory Principal - Marketing Regulatory Review. Be the first to apply!
Related searches
- principal Fort Mill, York County, SC
- senior principal cloud computing engineer Fort Mill, York County, SC
- regulatory law Fort Mill, York County, SC
- regulatory contract Fort Mill, York County, SC
- regulatory engineer Fort Mill, York County, SC
- regulatory Fort Mill, York County, SC
- epic principal trainer
- principal network architect
- principal software architect
- principal user experience researcher