We are partnering with a well-established financial services firm seeking a Supervision & Communications Principal to join its compliance supervision function. This role focuses on the oversight of digital communications, social media activity, and marketing materials to ensure adherence to FINRA, SEC, state, and federal regulations, as well as internal firm standards.
This is a hybrid role based in New York City, offering strong visibility across compliance, marketing, and field leadership teams with direct responsibility for supervising advisor communications and protecting firm brand integrity.
ABOUT THE ROLEThe Supervision & Communications Principal is responsible for reviewing and approving digital content, marketing materials, and advisor communications to ensure regulatory compliance and alignment with firm policies. The role plays a key part in maintaining supervisory controls over social media, advertising, and electronic communications across registered representatives.
You will collaborate closely with Compliance, Legal, and Marketing teams to enhance supervisory processes, resolve compliance issues, and strengthen communication oversight across the organization.
RESPONSIBILITIES- Monitor and review digital communications, social media activity, and marketing content for regulatory and brand compliance
- Conduct supervisory reviews of advisor communications, including electronic messages and one-time-use marketing materials
- Approve and oversee social media profiles used for business purposes and manage onboarding/offboarding within surveillance systems
- Identify and remediate compliance issues in coordination with advisors and internal stakeholders
- Maintain and operate social media and digital communications surveillance tools and workflows
- Provide guidance and support on FINRA, SEC, and firm policy requirements related to communications and advertising
- Support regulatory exams, audits, and internal compliance reviews
- Deliver training and education to field personnel on marketing, communications, and regulatory standards
- Collaborate with Compliance and Marketing leadership to improve supervisory processes and procedures
- Monitor case management systems and respond to compliance-related issues in a timely manner
QUALIFICATIONS- Bachelor s degree required (or equivalent industry experience considered)
- 3 5 years of experience in FINRA/SEC compliance, marketing supervision, or communications oversight
- Experience supervising digital communications, social media, advertising, or registered representatives
- FINRA Series 7, 24, and 66 required or must be obtained within 90 days
- Life and Health insurance license required or must be obtained within 90 days
- Strong knowledge of FINRA/SEC rules, Written Supervisory Procedures (WSP), and compliance manuals
- Strong analytical, communication, and decision-making skills
- Excellent organizational skills with ability to manage multiple priorities in a fast-paced environment
- Strong attention to detail and sound business judgment
- Ability to collaborate across teams and influence stakeholders at all levels