Compliance Communications Review Analyst
Position Overview:
Primary responsibilities include reviewing and approving communications submitted by representatives, assisting with complex/escalated cases, reviewing and revising communications policy and serving as a subject matter expert to representatives and various departments throughout the company.
Position Qualifications:
- Bachelor’s degree in Finance or other business related field or equivalent work experience
- Series 7, 24, 66 industry licenses required
- Ability to obtain the Series 4 and 53 within 3-6 months of hire, contingent upon current level of licensure
- Variable Life and Annuity industry licenses preferred
- 3-5 years previous financial services industry experience preferred
- 2 years Communications Review experienced preferred
- Understanding of financial products (variable products, mutual funds, alternative investments, etc.) and mainstream investment strategies used by financial representatives
- Knowledge of SEC, FINRA and various other SRO’s communications with the public rules and regulations related to both broker-dealer and investment adviser
Position Skills:
- Strong written and oral communication skills, including the ability to diplomatically find solutions to assist representatives and the firm with their marketing efforts
- Strong attention to details and ability to multi-task and prioritize jobs independently
- Ability to work well independently and under pressure
- Ability to analyze activities, reports and manuals to determine if they fall within firm policy and regulatory guidelines
- Ability to effectively mentor less experienced staff in a team environment
- Ability to plan and implement organizational and department goals
- Ability to identify, investigate and research various compliance situations and present findings and recommendations to management
- Ability to maintain confidentiality
- Ability to work in a time-sensitive environment and provide client support during extended hours as needed
- Skill in operating various office equipment and various software packages
- Reviewing and approving materials from representatives, our Corporate Marketing Department, financial institutions and product sponsors ranging from sales literature, marketing materials, websites and prospecting tools
- Provide alternative suggestions for materials that do not conform to firm and/or regulatory standards
- Ensure compliance with state and federal regulations in order to decrease the firm’s exposure to regulatory and/or legal risk
- Submit materials to FINRA Advertising Regulation for review and incorporate any comments received as necessary
- Manage a specific regional territory developing and maintaining relationships with the representatives in the region
- Handle complex and or escalated pieces, including researching regulations, decision making, and ensuring prompt follow up with representatives
- Mentor and train new employees on how to apply communications rules and regulations
- Respond to compliance questions from representative’s offices and SAI employees
- Review SAI communication policy to ensure compliance with regulatory policies and procedures
- Assist with related regulatory inquiries
- Assist in the creation and delivery of communications training for representatives and SAI employees
- Other duties as assigned
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