Responsibilities

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
• Consult with advisors on their marketing initiatives
• Research and address instances where the firm’s policies are not being followed.
• Assist with research and response to regulatory inquiries including branch exams.
• Contribute to department initiatives that may include policy updates and training.
• Other tasks and projects as assigned.

Requirements

• 3+ years of prior financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role
• Ability to confidently engage with stakeholders by phone, explain complex issues in a clear and concise manner, articulate the rationale behind decisions or processes, and utilize open-ended questioning techniques to gather information and drive effective conversations.
• Knowledge of FINRA, SEC, and State rules and regulations
• Licensing: Series 7, 24

Preferred

• Bachelor’s Degree
• Licensing: 66 (or 63 and 65)

Benefits

• 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.