Marketing Regulatory Review Analyst - Remote Eligible

Principal Marketing Review Analyst

The Onboarding Advisor Communications Supervisory Principal will review and approve marketing materials and other public communications for financial professionals and their staff. This principal will serve as the first point of contact from a marketing regulatory review perspective for onboarding professionals and will work closely with several internal departments.

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.
• Content reviews will range from stationery, websites, announcement letters, designations, titles, educational credentials, third party awards and more as needed.
• Consult with internal partners and potentially advisors on their marketing materials.
• Assist with data collection and intake of marketing materials as needed for principal review.

Requirements

• 3+ years of prior financial services specifically with advertising/marketing compliance review experience applying FINRA 2210 to advisor created content.
• 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 2210, SEC, and State rules and regulations related to communications with the public
• 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 Smartsheet, Excel, Word, PowerPoint, Adobe Pro and BOX
• Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Preferences

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

Compensation & Benefits

The estimated pay rate for this contract position is between $35.00 and $40.00 per hour.

We are an equal opportunity employer and welcome applications from all qualified candidates regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.