Experience and Skills
* 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 Series 24), and Series 66 or 63/65. Series 4 and 53 a plus.
* Extensive knowledge of FINRA, SEC (Investment Advisers Act of 1940 and Investment Company Act of 1940 especially), and MSRB rules concerning advertising and communications with the public.
* 10+ years’ experience reviewing broker/dealer and investment advisory sales materials, including email and social media communications
* Excellent communication skills - written, oral and human relations - including proofreading, facilitation, education, and presentation skills.
* Ability to independently, reasonably, and consistently utilize existing knowledge or quickly acquire additional knowledge of industry regulations in a supportive marketing environment.
* Aptitude to identify potential regulatory issues, assess overall risk, and propose creative solutions based on current regulatory requirements.
* Ability and willingness to adapt to change, exhibit sound judgment and maintain confidentiality of sensitive information.
* Previous experience with compliance surveillance applications such as Broadridge, Smarsh, or Hearsay.
* High understanding of various software and capabilities, including Microsoft 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.
* Ability and willingness to travel for participation in firm or industry conferences and educational sessions.
* Ability to maintain regular, predictable attendance.
* Manages the Marketing Supervisory Managers and all aspects of centralized marketing principal review, including brokerage and advisory communications, reviewing and providing guidance and principal approval of branch, financial professional, and corporate Wealth Management marketing materials
* Work with financial professionals, branches, and Marketing on constructive revisions to meet applicable regulatory/compliance standards.
* Enhance and maintain the centralized principal review structure for Wealth Management communications with the public
* Assist in creating, implementing and communicating Written Supervisory Procedures as they relate to compliance with FINRA, SEC and MSRB rules and regulations for communications with the public.
* Participate in implementation and ongoing maintenance and enhancements of technologies for supervising communications with the public.
* Assist with ongoing assessment of supervisory resource needs related to communication with the public reviews, including technology and personnel needs.
* Review and address items reported by Compliance or Internal/External Audit related to communications with the public. The position interacts heavily with industry examiners, internal and external auditors, and financial institutions
* Identify areas of communications with the public impact resulting from Firm business changes or identified through various supervisory reviews or regulatory updates
* Develop trainings related to communications with the public, including presentations to branch personnel, including FPs and branch office managers, corporate marketing personnel, and other supervisory/compliance personnel.
* Serve as the supervisory subject matter expert for communications with the public including various social media communications mediums such as LinkedIn and Twitter
* Lead marketing material discussions with Legal, Compliance, Marketing, and any other interested parties to enhance the consistent execution of Communications with the Public-related regulations throughout all materials and communications.
* Stay current on industry and regulatory updates and trends that affect how materials may be presented/ approved, including participation in industry roundtables and conferences.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.