Compliance Advisor – Advertising Review
Commonwealth Financial Network - San Diego, CA

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The Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.

We are looking for a strong relationship builder with excellent communication skills—and a background in advertisement/sales literature review—to join our Compliance department’s Advertising Review team.

As a compliance advisor on the Advertising Review team, your responsibilities would include:
  • Reviewing and approving materials from advisors and Corporate Marketing and Communications, ranging from sales literature, newsletters, websites, social media, advertisements, marketing materials, and prospecting tools
  • Ensuring compliance with state and federal regulations in order to decrease the firm’s exposure to regulatory/legal risk
  • Providing alternative ideas for advertising submissions that do not meet regulatory standards
  • Contributing to high priority projects on an as needed basis
The ideal candidate would also meet the following requirements:

  • 3+ years of experience in compliance or financial services
  • A background in advertisement/sales literature review
  • A background in securities, including mutual funds, variable annuities, alternative investments, and equity and debt products, as well as knowledge of investment advisory advertising standards
  • FINRA Series 7 and 24 registrations required; Series 53 must be maintained within six months of hire
  • College degree required
  • A passion for service; superb customer relationship skills
  • Ability to consistently provide a high level of attention to detail
  • Strong communication skills—both written and oral
  • Effective time management and organizational skills; ability to work well independently and under pressure
San Diego, CA position