Compliance Specialist - Advertising

SUMMARY

The Compliance Specialist – Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review.

KEY ACCOUNTABILITIES

• Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.
• May travel for off-site client office exams.
• Conducts various website and internet reviews.
• Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products.
• Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.

WORKING RELATIONSHIPS

• Answers client and internal inquiries and helps resolve any issues.
• Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

• Bachelor’s degree in business administration, finance, accounting, or related field.
• 2+ years of experience in the financial industry.
• Experience working in an operations or compliance role.
• FINRA Series 6, 26.
• FINRA Series 7, 24, or ability to obtain within 12 months.

KNOWLEDGE

• Securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Ability to successfully communicate and apply regulatory requirements both internally and to clients of the Firm.
• Troubleshoots issues utilizing creative and critical thinking skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• Participates in solving problems and making decisions.
• Presents and expresses ideas and information, written and oral, clearly, and concisely.
• Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
• Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
• Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Equivalent education, experience, and KSA’s will be considered.