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Compliance Advertising Senior Analyst
3 months ago
The Advertising Compliance Senior Analyst - Advisory reviews, edits, advises, and verifies the final copy in accordance with all appropriate marketing rules and regulations promulgated under FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended).
"MUST BE WILLING TO WORK IN JERSEY CITY, NEW JERSEY" ALL OTHERS NEED NOT APPLY
Essential Duties And Responsibilities
- Reviews advisory communications intended to be distributed to members of the public for consistency with SEC and FINRA regulations, Firm policies and procedures, and Firm image.
- Marks and communicates required changes to the materials or offers possible alternative materials, when available, if submitted materials are not approvable.
- Answers questions from firms Broker-Dealer and investment advisory affiliates, financial advisors, branch managers, and others pertaining to the submitted materials and required changes, as needed.
- Verifies that changes indicated have been made upon resubmission or remarks changes still to be made.
- Approves or denies materials for firns Broker-Dealer and investment advisory affiliates, financial advisors, branch managers, and any other designated individual in the branch or home office.
- Helps maintain communications through proprietary in-house systems as needed to ensure accurate documentation and availability of information.
- Actively pursues gaining additional knowledge and licenses to fully respond to material submissions
- Interacts regularly with the senior management, flagging issues as they arise, to optimize review timeliness.
- Strong knowledge of Marketing rules codified in FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended) - including historical rules, no-action letters, and all new rules.
- Strong understanding of SEC investment advisory rules/regulations, industry practices, and application of the same to the firm's business model.
- Ability to communicate complex regulatory concepts clearly and concisely.
- Ability to manage multiple priorities with tight deadlines.
- Ability to understand industry regulations, especially concerning communication with the public.
- Knowledge of media production, communication, and dissemination techniques and methods, including alternative ways to inform and entertain via written, oral, and visual media.
- Minimum Required: Bachelor's Degree in a related field or equivalent experience.
- Minimum Required: 3+ years of experience in Broker Dealer or Investment advisor.
- FINRA Series 65 or 66 is a plus or the ability to obtain.
- Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
