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Job description
Everforth Apex Systems is seeking a Regulatory Review Principal to lead approvals of marketing materials for financial professionals and their staff. You will act as the primary regulatory reviewer, coordinating with internal teams to ensure FINRA and SEC compliance.
The role emphasizes clear communication with clients and colleagues and requires strong attention to detail. Must have 3+ years in financial services advertising/marketing compliance, active Series 7 and 24, and a Bachelor's degree.
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Worksite address
fort mill, SC, 29715, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.