Compliance Advisor – Advertising Review Job in Waltham 02453, Massachusetts US

We are looking for a strong relationship builder with excellent communication skills—and a background in advertisement/sales literature review—to join our Compliance department’s Advertising Review team.


The Compliance department works with home office staff and advisors to interpret and apply state, federal, and other rules and regulations governing the securities industry.


As a compliance advisor on the Advertising Review team, your responsibilities would include:

 

·          Reviewing and approving materials from advisors and Corporate Marketing and Communications, ranging from sales literature, newsletters, websites, advertisements, marketing materials, and prospecting tools

·          Ensuring compliance with state and federal regulations in order to decrease the firm’s exposure to regulatory/legal risk

·          Providing alternative ideas for advertising submissions that do not meet regulatory standards

·          Reviewing and approving correspondence—specifically e-mail communications between advisors and clients—to ensure compliance with FINRA rules review

 

The ideal candidate for this position should meet the following requirements:

 

Experience

·          3+ years of experience in compliance or financial services

·          A background in advertisement/sales literature review

 

Knowledge

·          A background in securities, including mutual funds, variable annuities, alternative investments, and equity and debt products, as well as knowledge of investment advisory advertising standards

·          FINRA Series 7 and 24 registrations required; Series 53, a plus

·          College degree, required

 

Skills

·          A passion for service; superb customer relationship skills

·          Ability to consistently provide a high level of attention to detail

·          Strong communication skills—both written and oral

·          Effective time management and organizational skills; ability to work well independently and under pressure

      

If you’re a true team player with a positive attitude and a strong commitment to customer service—and your background matches our requirements for this position—we would like to hear from you.