State Licensed Marketing Compliance Officer

Job Summary

A company is looking for an Assistant Vice President, Marketing Regulatory Review.

Key Responsibilities

• Lead compliance programs for marketing materials and communications across various platforms
• Develop and implement policies and procedures for effective communication strategies
• Provide strategic oversight for high-impact marketing initiatives and manage team performance

Required Qualifications

• Bachelor's degree
• FINRA Series 7 and 24
• 8+ years of experience in financial services or a regulatory agency
• 5-7 years of experience with communications regulations and requirements
• Deep understanding of FINRA, SEC, and state rules governing public communications