Review and approve marketing materials and other public communications
Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations
Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions
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

3+ years of prior financial services and advertising/marketing compliance review experience
Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind complex issues, ask open-ended questions
Strong knowledge of FINRA, SEC, and State rules and regulations
Licensing Requirement: Series 7, 24
Core Competencies: Ability to work in a fast-paced/high-volume environment and be flexible with work schedule
Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
Working knowledge of Excel, Word, and PowerPoint
Excellent customer service skills and the ability to communicate effectively with individuals at various levels

Senior Advisor, Communications & OBA Supervisory Principal

Key skills