Supervisory Principal: Advertising Compliance
Job Description
*Essential Duties And Responsibilities:** Review and approve submissions (via RegEd AdTrax or other platforms) of seminars, radio shows,
* websites, social media, and other retail communications.
* Interpret FINRA and SEC regulations to ensure that communications comply with regulatory standards.
* Respond to email and telephone inquiries from Registered Representatives regarding advertising submissions.
* Continually educate registered representatives about the advertising review guidelines and policies.
* Handle project work as needed.
* *
*Certifications, Licenses, Registrations*
FINRA Series 7, 24 (or 9/10) and FINRA Series 66 (or 63/65)
*Skills & Qualifications*
* Bachelor's degree or equivalent education and experience.
* Requires Series 7, 66/65, and either Series 24 or Series 9/10
* 3 yrs. compliance or supervision experience, preferably in a supervisory/manager capacity
* Strong working knowledge of Alternative Investments, Fixed Indexed Annuities, Variable Annuities
* 3+ years of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial,
compliance and supervisory operations.
* 3+ years of customer service or relationship management experience in a fast-paced environment.
* Should be able to develop effectual relationships and operate with executives.
* Ability to learn complex financial information, the company's technology platforms & terminology at a fast pace; accurate with
attention to details.
* Ability to synthesize large amounts of information and communicate conclusions effectively.
* Advanced computer skills; Salesforce, MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
* Ability to independently organize, prioritize, and manage time with minimal supervision and guidance from management.
*Knowledge, Skills, and/or Abilities*
* Familiarity with the RegEd AdTrax applications strongly preferred.
* Strong analytical and organizational skills.
* Ability to confidently and tactfully deliver compliance decisions.
* Ability to use sound judgment when interpreting regulatory guidance and applying it to marketing
material.
* Ability to handle numerous tasks at one time.
* Strong written and verbal communication skills.
* Ability to contribute to the team in order to
meet turnaround standards and generate consistent review.
*Education and/or Experience*
* Two or more years of related work experience in a securities firm, financial services organization, legal, regulatory, compliance or similar role.
* Basic computer skills, including Microsoft Office software programs.
*Pay and Benefits*
The pay range for this position is $40.00 - $50.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan * Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a fully remote position.
*Application Deadline*
This position will be accepting applications until Dec 27, 2024.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
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