D.A. Davidson Companies · 19 hours ago
Marketing Supervisory Principal
United States
Full-time
Remote
Senior Level
$58K/yr - $78K/yrD.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. The Marketing Supervisory Principal serves as a marketing expert within the supervisory team, responsible for reviewing and approving brokerage and advisory communications in compliance with regulatory standards.
Financial Services
Responsibilities
Serve as a supervisory principal for the timely and accurate review and approval of traditional and electronic marketing, advertising and other business communications
Work with Financial Professionals, branch staff, and Marketing on constructive revisions to meet applicable regulatory standards
Serve as a supervisory subject matter expert for various social media communications mediums including, but not limited to, Facebook, LinkedIn, etc
Serve as a resource for the Regional Directors, Regional Supervisory Principals and Branch Office Managers with respect to Communications with the Public
Assist in development of training and processes related to Communications with the Public as identified through various supervisory reviews or regulatory updates
Stay current on industry and regulatory updates and trends that affect how materials may be presented
Qualification
Required
Bachelor's degree in finance, accounting or business-related field; or relevant securities industry experience
Applicable industry exams: FINRA SIE, Series 7, Series 9/10 or 24, and Series 66 or 63/65. If not licensed, must obtain within 120 days
Solid knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public, including social media
Strong written, oral and human relations skills. This role interacts with branch staff, marketing department personnel, and other supervisory personnel
Ability to independently, reasonably, and consistently apply Communication with the Public rules in a supportive marketing environment
Ability to assess overall risk and propose creative solutions based on current regulatory requirements
High understanding of various software and capabilities, including Word, PowerPoint, Excel, and Outlook
Strong organizational skills and attention to detail. Ability to work with a high-degree of accuracy while prioritizing multiple tasks
Team player who projects a professional and personable manner at all times. Maintain client and Firm confidentiality
Ability to adapt to change and exhibit sound judgment
Ability to maintain regular, predictable attendance
Must have good time-management skills and be a self-starter
Preferred
Prior experience reviewing and approving broker/dealer and investment advisory communications preferred
Occasional opportunity to travel to educational conferences
Benefits
Medical, Dental and Vision
Company 401(k)and ESOP contribution
Generous sick, vacation, and maternity/parental leave
Paid holidays
Professional Development Opportunities
Tuition Reimbursement ($15,000 lifetime cap)
Discounted personal insurance including home, auto and recreational vehicles
Charitable gift-matching program
Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work
Company
D.A. Davidson Companies
At D.A.
Founded in 1935
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Larry Martinez
Chief Executive Officer
Amy Anastasoff
Chief Operating Officer, Fixed Income Capital Markets
Recent News
The Express Tribune
2025-10-06
2025-10-03
2025-09-25
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