Reviewing advertising and marketing material submitted by Financial Professionals
Conducting reviews of marketing material created from Home Office business partners
Managing communications compliance risk for the Company
Fostering and sustaining collaborative business partner and field office relationships
Focusing on bringing business/field partners additional resources to assist them with material creation and submission
Striving to improve efficiency through continuous improvement efforts

Series 7 and 24 registrations at time of application.
3+ years of Broker Dealer and/or Corporate Registered Investment Adviser experience
Bachelor's degree
Advertising review experience a plus
Proficient in Microsoft Office Suite
Possesses a can-do attitude, has a passion for delivering outstanding customer service, and has a solutions-oriented, collaborative, and risk-based mindset and can operate within “the gray.”
Is empathic to the needs and goals of our business and field partners and demonstrates a sense of urgency when handling material reviews.
Motivated self-starter, excellent verbal and written communication skills, problem solver, organized, and can work autonomously once trained and with limited coaching.
Team player, who can work collaboratively with business and field partners to develop or modify business operating policies and procedures to help ensure compliance with applicable regulations.
Demonstrated ability to champion and adapt quickly to change, increasing data literacy, and increasing utilization of technology and automation including in the artificial intelligence space.

Regular meetings with the Communications Compliance Team
Focused one-on-one meetings with your manager
Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
Access to learning content on Degreed and other informational platforms

Communications Compliance Consultant

Key skills