Advertising Compliance Examiner Job in Bethesda 20817, Maryland US
Advertising Compliance Examiner
Need a challenging and dynamic position? A growing, diverse Bethesda, Maryland broker/dealer and investment adviser is seeking an Advertising Compliance Examiner. The Advertising Compliance Examiner reviews sales and advertising materials / correspondence created by the B/D and Registered Representatives for use with the public.
Responsibilities
• Assists in ensuring day to day operations are conducted in compliance with regulatory and legal requirements and firm policies. Non-routine advice is likely to be reviewed by the Advertising Compliance Supervisor (or CCO).
• Daily review and approval of submissions of social media, seminars, radio shows, websites, correspondence requiring prior approval, and general advertising and sales literature, with follow-up as necessary. The Examiner also reviews Outside Business Activities marketing materials as appropriate.
• As directed by the Advertising Compliance Supervisor, the Examiner assists other staff, attends professional conferences and participates in continuing education training, and leads or participates in Compliance projects.
• The Examiner is also responsible for any other tasks or projects assigned to the Examiner.
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Knowledge Skills
• FINRA Series 7 and 24 required (will allow individual to obtain with 120 days of hire).
• Series 66 or S65/S63 required for advisory review.
• Life and Health license / FINRA Series 4 are highly desirable.
• Two or more years of related work experience in a securities firm, financial services organization, legal, regulatory, compliance or similar role desired.
• Task oriented attention to detail. Ability to multi-task and manage high workload.
• Strong oral and written communication skills.
• Team player with good interpersonal skills and diplomacy.
• Ability to work independently.
Put your analytical skills and creativity to work!