Compliance Communications Associate

About the role

Provide review, approval, and support services for all internal and external communications to ensure they comply with internal policies, procedures, and regulatory agency standards.

Responsibilities

• Review, analyze, and approve all internal and external advertising and communications with the public pursuant to Investment Advisor and Broker/Dealer regulatory rules.
• Partner with subject matter experts to review, analyze, and approve seminars, websites, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, client-facing analysis, and other initiatives.
• Conduct regulatory research as assigned.
• Assist in the preparation of regulatory filings and revisions.
• Review and approve all radio and television programs.
• Assist in other Compliance areas such as Sales Practice, Surveillance, and Employee Activities as needed.

Requirements

• Ability to manage and prioritize multiple tasks while meeting tight deadlines.
• Excellent interpersonal and communication skills, with the ability to interact with individuals at all levels within the firm.
• Demonstrated ability to independently evaluate situations, exercise judgment, and render decisions.
• Strong knowledge of FINRA and SEC Rules, and applicable state laws.
• Proficient with Microsoft Office Suite. Familiarity with Global Relay and Red Oak Advertising Review is a plus.

Qualifications

• Minimum Education Required: Bachelor’s degree in Finance or related field, or equivalent work-related experience.
• Minimum Work-Related Experience: 2+ years in the financial services industry, preferably in compliance, audit, legal, or operational, credit, or market risk.
• Licenses/Registration Required: SIE, Series 7, and 66 at time of hire. Ability to obtain Series 24 within 120 days.

Work Environment

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free office setting. Routine use of standard office equipment such as computers, phones, photocopiers, and filing cabinets.

About Benjamin F. Edwards

Founded in 2008, Benjamin F. Edwards serves more than 300 advisors with over $50 billion in assets. The firm values its legacy of family and colleagues and fosters an environment where all succeed through collaborative support. We invest in our team and recognize the value of hard work, offering rewards that extend throughout a culture encouraging learning, growth, and personal best. Having fun is part of the firm’s mission statement.

Benefits

• Comprehensive benefits package including health, dental, and vision insurance.
• 401(k) retirement plan.
• Life insurance and disability coverage.
• Paid time off.