Registered Principal

About the role

The Marketing Review Officer is a member of the Business Supervisory Office and works directly with the front office, senior leaders, sales teams, Compliance, and Legal to review and approve advertisements, marketing materials, sales literature, and certain other types of correspondence created and utilized by the Private Bank.

Responsibilities

• Review and approval of communications with the public
• Review, approval, and maintenance of relevant Policies and Procedures
• Knowledge of financial regulations including Securities and Exchange Commission, FINRA, and The Federal Reserve
• Knowledge of regulatory guidance, firm policies, and industry best practices
• Provide regulatory guidance to business stakeholders regarding disclosures, performance presentations, product descriptions, and marketing campaigns
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• Assist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations
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