Supervision and Communications Principal

Full-time Advertising, Marketing, Promotions, Public Relations, and Sales Managers

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 ROLE

The 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 comm...