Responsibilities

• Lead the end-end-end CWTP lifecycle from intake through final approval by managing and tracking the status of multiple document review projects, setting priorities, communicating status, and proactively facilitating all necessary follow-up between document owners and reviewers
• Process and prioritize Workfront submissions from internal document owners, including Marketing, Sales, Public Relations, and Product Management
• Be a subject matter expert (SME) on the department CWTP procedures, as well as Workfront software functionality to support the process
• Serve as a primary point of contact for internal and external reviewers, including Business SMEs (Subject Matter Expert), Legal, Compliance and Series 24 Principals
• Maintain accurate documentation on behalf of document owners to ensure timely filing and proper recordkeeping, as required by FINRA (Financial Industry Regulatory Authority)
• Closely work with partners to optimize, streamline, and identify opportunities to create efficiencies and process enhancements
• Cross-train on other Business and Regulatory Communications team functions as needed
• Responsibilities may vary based on department need and priorities

Requirements

• Bachelor’s degree or equivalent experience
• 2+ years in a project management or project coordination role within financial services
• Working knowledge of FINRA and SEC (Securities and Exchange Commission) advertising rules and regulations related to ETF and mutual fund communications, including FINRA Rule 2210 and SEC Rule 482
• Highly organized, self-directed, and consistently able to follow established procedures with a high degree of accuracy, discipline, and attention to detail
• Ability to establish and execute high-quality, consistent work product
• Ability to work well under pressure; anticipate and adapt to continually changing workload priorities; and effectively manage multiple tasks
• Solid proficiency using Microsoft Word, Excel, PowerPoint, and Outlook
• Strong technical skills, with ability to quickly learn project management and workflow software/tools
• Positive attitude with excellent written and verbal communication skills, and a demonstrated ability to successfully collaborate with multiple business partners

Preferred

• Experience using marketing review, approval, or compliance workflow tools such as Workfront, RegEd, or comparable systems.

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance