Communications Supervision Principal

A financial services organization is seeking an experienced compliance professional to join its supervision team. This role will oversee digital and electronic communications, advertising, marketing materials, and social media activity to ensure compliance with securities regulations, internal standards, and supervisory requirements. The position is ideal for someone with broker-dealer compliance experience who understands communications supervision, can exercise sound judgment, and is comfortable partnering with registered representatives and business teams in a fast-paced environment. Key Responsibilities Review and approve advertising, marketing materials, social media content, websites, and other communications for compliance with FINRA, SEC, and applicable federal and state requirements. Conduct principal-level supervisory reviews of electronic communications and other materials produced by registered personnel. Monitor the online and social media activity of registered representatives and identify potential regulatory, reputational, or policy concerns. Review and approve business-related social media profiles and oversee changes or removal of access when appropriate. Identify communications that require modification and work directly with employees and advisors to resolve compliance concerns. Apply written supervisory procedures and compliance policies when evaluating communications and determining appropriate corrective action. Partner with Legal, Compliance, Marketing, and other internal teams to maintain and enhance supervisory processes. Support surveillance technology and workflows used to monitor digital communications, websites, and social media activity. Review one-time marketing and communications materials submitted by financial professionals and their teams. Escalate exceptions or potential violations and assist in determining appropriate remediation. Provide compliance guidance, training, and education to registered personnel on regulatory requirements, internal policies, communications standards, and licensing matters. Assist with documentation and information requests related to internal reviews, audits, and regulatory matters. Monitor assigned compliance and supervisory cases and ensure matters are addressed in a timely manner. Identify opportunities to improve supervisory procedures, controls, workflows, and overall efficiency. Build effective working relationships with financial professionals and internal business partners while maintaining appropriate compliance oversight. Participate in additional compliance initiatives and projects as needed. What We’re Looking For 3–5 years of relevant experience in broker-dealer compliance, supervision, or a related financial services function. Experience applying FINRA and SEC requirements in a regulated financial services environment. Hands‑on experience reviewing or supervising advertising, marketing, social media, digital communications, and/or electronic correspondence. Experience supervising or providing compliance oversight of registered representatives. Prior experience as a Financial Advisor is preferred but not required. Working knowledge of written supervisory procedures, compliance manuals, and broker‑dealer supervisory requirements. Strong judgment and attention to detail, with the ability to make timely compliance decisions based on available information. Ability to manage multiple priorities and maintain accuracy in a high‑volume, deadline‑driven environment. Strong analytical, written, and verbal communication skills. Ability to communicate compliance concerns constructively and work with business partners to reach appropriate solutions. Strong organizational, time‑management, and conflict‑resolution skills. Self‑directed and comfortable working independently while contributing effectively within a team. Collaborative and service‑oriented approach with an interest in continuously improving supervisory practices. Education & Licensing Bachelor’s degree in a related discipline preferred; relevant industry experience may be considered where appropriate. FINRA Series 7, Series 24, and Series 66 required, or ability to obtain the required registrations within 90 days of hire. Appropriate Life and Health insurance licensing required, or ability to obtain within 90 days of hire. #J-18808-Ljbffr Madison-Davis, LLC