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Compliance Advertising Analyst
3 months ago
- Thoroughly review and analyze advertising communications, promotional materials, consumer-oriented marketing materials, sales trainings, and seminar programs to ensure compliance with state and federal laws and regulations
- Evaluate marketing materials with a discerning eye, considering potential risks and ensuring alignment with regulatory standards
- Effectively communicate any necessary compliance revisions and provide constructive feedback to advisors and their office staff via email and phone communication
- Seek to understand the advisor sales process and assist in the development of marketing collateral and programs to aid in overall effectiveness
- Assist with IAR supervision and onboarding
- Communicate pertinent compliance and project-related information to internal teams
- Efficiently convey information through the internal database/tracking system for marketing materials to illustrate the completion status of projects and provide updates on outstanding projects
- Understand and stay updated on relevant industry regulations, guidelines, and compliance requirements
- Two or more years' experience working in the financial services industry, specifically the securities industry
- Experience with reviewing and editing diverse marketing materials; or have held positions demanding a high level of attention to detail in a fast-paced environment
- Strong problem-solving and researching skills
- Exceptional relationship-building skills and ability to navigate sensitive conversations
- Confident, professional and articulate written and verbal communication skills
- Self-motivated; ability to independently manage projects and tasks
- Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
- Ability to work with a high degree of accuracy in a fast-paced environment
- Ability to gain knowledge and understanding of compliance requirements and regulations
- Knowledge of FINRA, SEC and various state rules/regulations
- Series 65 or interested in obtaining in the future
- Bachelor's degree in related field
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Employee sponsored events...and more
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