Compliance Advertising Specialist
4 weeks ago
We are seeking a detail-oriented Compliance Advertising Analyst to join our team at Advisors Excel. As a key member of our Compliance team, you will play a critical role in ensuring that all advertising and promotional materials meet regulatory requirements.
Key Responsibilities:
- Conduct comprehensive reviews and analysis of advertising communications, promotional materials, consumer marketing content, sales trainings, and seminar programs to ensure full compliance with state and federal regulations.
- Assess marketing materials critically, identifying potential risks while ensuring alignment with industry regulations and best practices.
- Provide clear and constructive compliance-related feedback to advisors and their staff, communicating necessary revisions via email and phone in a professional and timely manner.
- Gain an understanding of the advisor sales process to assist in the creation and development of marketing collateral and programs that enhance overall effectiveness and adherence to compliance standards.
- Support Investment Adviser Representative (IAR) supervision and onboarding processes to ensure compliance from the start of each engagement.
- Share key compliance updates and project-related information with internal teams to ensure alignment and a smooth review process.
- Maintain accurate records and track project status through internal databases, clearly documenting the progress and completion of marketing material reviews.
- Stay current on evolving industry regulations, guidelines, and compliance requirements to ensure ongoing adherence and provide expert guidance to internal and external stakeholders.
- Two or more years' experience working in the financial services industry, specifically the securities industry.
- Ability to learn, understand, and apply compliance requirements and industry regulations.
- 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.
- Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever-changing priorities.
- 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.
Advisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment.
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Compliance Advertising Specialist
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