Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services
Job Summary
Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services.
Assist with preparation of regulatory filings and revisions and participate in projects to support the compliance team and business partners.
We’ll empower you to learn and grow the career you want and recognize and support you in a flexible environment where well-being and inclusion are more than just words.
Matching Summary
Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services.
Salary
Base: $73,350.00 USD - $122,250.00 USD; Bonus/Equity: Incentive programs and incentive compensation tied to business and individual performance; Benefits: Health, dental, mental health, vision, disability, life insurance, adoption/surrogacy, wellness benefits, EAP, retirement savings plans, paid time off
Skills & Requirements
Must-have
Advertising and Communications review
FINRA and SEC rules understanding
Investment products knowledge
Regulatory environment knowledge
AI tools proficiency
Nice-to-have
Relationship building skills
Ethical compass
Facilitate decision making
Work with all levels of management
Key Requirements
FINRA Series 7 and 24 strongly preferred
Prior advertising review experience
Minimum 3-5 years experience
Ability to work independently and as part of a team