Analyst, Marketing Compliance
Cole Capital Advisors - Phoenix, AZ

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Reporting to the Director, Marketing Compliance, the Marketing Compliance Analyst will work closely with the Director helping to develop, implement, oversee and measure the compliance programs that focus on marketing and firm internal and external communications. Ideal candidate will be proactive and stay aware of complex regulatory changes. One main focus of this position will be to assist the Director, Marketing Compliance in the review and regulatory filing of Cole’s communications with the public.

Job Responsibilities:
  • Works closely with the Director, Marketing Compliance to manage the broker dealer marketing communications compliance process
  • Manage compliance processes as a liaison for both the Marketing and Sales groups
  • Review and provide principal approval of communications with the public for compliance with applicable regulatory rules and firm guidelines
  • Facilitate and maintenance of filings with FINRA, the SEC, and various states as required
  • Participate in development/implementation of departmental policies
  • Provide guidance to internal clients regarding compliance policies and procedures
  • Resolve difficult issues and design solutions
  • Clearly and effectively explains and presents advertising standards and regulations to internal clients
  • Assist Director, Marketing Compliance with audits of controls; evaluation of procedural effectiveness and implementation of changes in response to regulatory changes and internal needs
  • General compliance support and special projects as needed
  • Maintenance of reports, filing Log, marketing material review log, advertising books and records

§ Highest level of integrity and ethics
§ 3 + years compliance experience in an investment products or asset management organization
§ Knowledge and understanding of applicable FINRA and SEC rules regarding investment product marketing
§ Knowledge and understanding of regulations applicable to REITs a significant plus
§ Series 7 and 24 FINRA licenses. (Ability to obtain 24)
§ Strong interpersonal skills and initiative. Ability to work well in a team driven culture.
§ Ability to multi-task and prioritize workload to meet deadlines in a fast-paced, dynamic environment
§ Bachelor’s degree
§ Demonstrated experience and proficiency with Microsoft Office Suite applications
§ Detail oriented with inclination to produce the highest quality work
§ Excellent communication skills
§ Professional appearance and demeanor

We will offer a competitive package based on experience and qualifications.