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Senior Analyst of Advertising Compliance
2 months ago
Summary
The Senior Analyst of Advertising Compliance at AJ Consultancy is responsible for reviewing, editing, advising, and ensuring the final content aligns with all relevant marketing regulations and standards as set forth by FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended).
Key Responsibilities
- Evaluates advisory communications intended for public distribution to ensure adherence to SEC and FINRA regulations, as well as company policies and branding.
- Identifies necessary modifications to submitted materials and suggests alternative options when applicable.
- Responds to inquiries from affiliated Broker-Dealers, investment advisors, financial consultants, branch leaders, and other stakeholders regarding submitted materials and required amendments.
- Confirms that indicated revisions have been implemented upon resubmission or highlights outstanding changes that still need to be addressed.
- Grants or denies approval for materials submitted by Broker-Dealers, investment advisors, financial consultants, branch leaders, and other designated personnel.
- Facilitates communication through proprietary systems to ensure accurate documentation and accessibility of information.
- Actively seeks to enhance knowledge and obtain relevant licenses to effectively manage material submissions.
- Regularly engages with senior management to flag issues as they arise, ensuring timely reviews.
- In-depth knowledge of marketing regulations outlined in FINRA Rule 2210 and the Investment Advisers Act of 1940 (as amended), including historical context, no-action letters, and recent updates.
- Strong comprehension of SEC investment advisory regulations, industry practices, and their application to the firm's operational model.
- Ability to articulate complex regulatory concepts in a clear and concise manner.
- Proficient in managing multiple priorities under tight deadlines.
- Understanding of industry regulations, particularly those related to public communications.
- Familiarity with media production, communication, and dissemination techniques, including diverse methods for conveying information through written, oral, and visual media.
- Required: Bachelor's Degree in a relevant field or equivalent professional experience.
- Required: A minimum of 3 years of experience in a Broker-Dealer or Investment Advisory role.
- Possession of FINRA Series 65 or 66 is advantageous or the capability to obtain it.
- Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
