Our Analyst, Marketing Regulatory Review will review and approve marketing materials and other public communications from Financial Advisors and home office employees.
Essential Functions :
- In consultative manner, analyze marketing materials and other forms of communication with the public and provide principal approval or instructions to change the material in order to provide approval.
- Consult with advisors on their marketing initiatives.
- Research and address instances where firm’s policies regarding communications with the public are not being followed.
- Serve as a resource to Advisors and Home Office Staff on communications with the public.
O ther Job Duties :
- Educate advisors, financial institutions, and home office employees regarding communications with the public.
- Assist with research and response to regulatory inquiries including branch exams regarding communications with the public.
- Contribute to department initiatives that may include policy updates and training
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
- Bachelor's degree preferred
- Minimum of 3+ years of relevant experience
- The Series 7 and Series 24 are required, other licenses are a plus
- Advertising/Marketing compliance review experience preferred
- Strong working knowledge of Excel, Word, and Access
- Must have excellent customer service skills and be able to communicate effectively
- Candidates should be focused on results, seek out responsibility, be able to effectively team with others, and be able respond promptly and calmly to changes
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