Senior Advertising Supervision Principal

Sr. Advertising Supervision Principal

Location

Fort Mill, SC or Tempe, AZ

Work Model

Hybrid (2-3 days onsite per week)

Employment Type

Contract-to-Hire

Duration

• Initial 6-Month Contract
• Overview

Our client, a large Financial Services and Wealth Management Firm, is seeking several Sr.

Advertising Supervision Principals to review and approve marketing and advertising materials created by financial advisors and internal business partners.

This position plays a critical role in ensuring communications comply with regulatory standards while supporting advisors in executing effective marketing initiatives.

The ideal candidate combines strong financial services compliance knowledge with excellent communication skills and a client-service mindset.

Key Responsibilities

• Review and approve marketing, advertising, and public communication materials for regulatory compliance.
• Provide guidance and recommendations that help advisors modify materials to obtain approval.
• Consult with financial advisors regarding marketing initiatives and advertising strategies.
• Research and address situations where firm policies and procedures are not being followed.
• Assist with regulatory inquiries, examinations, and branch reviews.
• Contribute to department initiatives, policy enhancements, and training efforts.
• Manage a high volume of reviews while maintaining quality and accuracy standards.
• Communicate compliance decisions clearly and professionally to advisor stakeholders.
• Offer compliant alternatives and recommendations rather than simply declining submissions.
• Types of Materials Reviewed
• Websites
• Business cards
• Newsletters
• Brochures
• Seminar materials
• Books
• Public communications
• Limited social media content
• Required Qualifications
• 3+ years of financial services compliance experience focused on advertising, marketing, or communications review.
• Experience working directly with clients, advisors, or stakeholders.
• Strong understanding of FINRA, SEC, and state regulatory requirements.
• Series 7 License
• Series 24 License
• Ability to explain complex compliance concepts clearly and confidently.
• Strong written and verbal communication skills.
• Excellent organizational skills and attention to detail.
• Ability to work effectively in a fast-paced, high-volume environment.
• Proficiency with Microsoft Excel, Word, and Power Point.
• Preferred Qualifications
• Bachelor's Degree.
• Series 66 License or Series 63 and Series 65 combination.
• Experience reviewing advisor-created marketing content.
• Experience with advertising and marketing compliance reviews.
• Experience reviewing FINRA-regulated communications.

• Familiarity with

• FMG
• Snappy Kraken
• Advisor Stream

Alternatively, if a great candidate meets most qualifications but don't specifically have marketing/ ad review, candidates with related compliance review experience may also be considered, including:

• Outside Business Activities (OBA) review
• Electronic communications review
• Job Type & Location

This is a Contract to Hire position based out of Charlotte, NC.

Pay and Benefits

The pay range for this position is $35.00 - $40.00/hr.

Eligibility requirements apply to some benefits and may depend on your jobclassification and length of employment.

Benefits are subject to change and may besubject 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 Type

This is a hybrid position in Charlotte, NC.

Application Deadline

This position is anticipated to close on Aug 20, 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.

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