Growing retail broker dealer is seeking a marketing and advertising specialist to join their compliance team.Key Responsibilities:
- Analyze and review retail communications to ensure compliance with Client, SEC, and internal policies, providing concise explanations for any required changes.
- Complete compliance reviews and assignments within the specified service level agreement timeframes.
- Serve as the primary analyst for social media compliance, identifying potential risks or regulatory issues.
- Conduct post-reviews of internal and external communications, identifying potential red flags or risks to the firm.
- Assist in the development and refinement of departmental policies and procedures to improve workflow efficiency.
Qualifications:
- Bachelor's degree preferred or equivalent combination of education, training, and experience.
- Client Series 7, 4, and 24 required.
- 3+ years of experience, preferably in compliance within a broker-dealer environment, with a focus on advertising/marketing compliance.
Base Salary - $100,000-$135,000 depending on experience