Advertising/Marketing Review Principal

The Advertising / Marketing Review Principal is responsible for reviewing and approving marketing materials and public communications for financial professionals prior to onboarding. This role serves as the primary point of contact for regulatory marketing review during the onboarding process and partners closely with cross-functional teams to ensure compliance while supporting a seamless advisor experience.

Key Responsibilities

Review and evaluate marketing materials and public communications to ensure compliance with applicable regulatory requirements (FINRA, SEC, and state regulations). Provide principal approval or deliver clear, actionable guidance to bring materials into compliance. Serve as the primary regulatory marketing review contact for onboarding financial professionals. Partner with internal stakeholders and advisors to consult on marketing strategies and communications. Assist with intake, tracking, and data collection associated with marketing materials under review. Maintain appropriate documentation of review decisions in accordance with recordkeeping standards. Support additional projects and initiatives as assigned.

Required Qualifications

FINRA Series 7 and Series 24 licenses (active). 3+ years of experience in financial services with a focus on advertising/marketing compliance review. Strong knowledge of FINRA, SEC, and state regulatory requirements governing communications with the public. Prior client-facing experience with the ability to explain complex regulatory concepts clearly and effectively. Comfortable engaging directly with stakeholders via phone and virtual channels. Core Competencies Ability to operate effectively in a fast-paced, high-volume environment. Strong collaboration and cross-functional partnership skills. Excellent time management and organizational abilities. Exceptional written and verbal communication skills. High attention to detail with strong analytical and problem-solving capabilities. Ability to manage multiple priorities and follow through on tasks efficiently. Customer-focused mindset with strong relationship-building skills. Technical Skills Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) Experience with Adobe Acrobat Pro and workflow tools such as Smartsheet or similar systems

Preferred Qualifications

FINRA Series 66 (or Series 63 and 65) Bachelor’s degree or equivalent professional experience

Work Environment

Fast-paced, team-oriented environment supporting onboarding and compliance functions. High interaction with internal stakeholders and financial professionals. Job Type & Location This is a Contract position based out of San Diego, CA. Pay and BenefitsThe pay range for this position is $40.00 - $45.00/hr. 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)

Workplace TypeThis is a fully remote position. Application DeadlineThis position is anticipated to close on Jun 11, 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. Apply To This Job