Senior Advisor Communications & OBA Principal

Job Overview

The Senior Advisor Communications & OBA Principal will review and approve marketing materials and other public communications as well as review Outside Business Activity and Private Securities Transaction requests from Financial Advisors and home office employees. The principal will serve as a Subject Matter Expert (SME) to help educate team members and home office employees regarding communications with the public and outside business activities.

Responsibilities

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
• Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations.
• Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions.
• Research and address instances where the firm’s policies are not being followed.
• Aid in research and response to regulatory inquiries including branch exams.
• Contribute to department initiatives that may include policy updates and training.
• Perform other tasks and projects as assigned.

Requirements

• Bachelor’s Degree Preferred
• 3+ years of prior financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions
• Licensing Requirement: Series 7, 24
• Knowledge of FINRA, SEC, and State rules and regulations

Core Competencies

• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Customer Focus
• Collaboration
• Time Management & Organization
• Excellent oral and written communication skills
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Working knowledge of Excel, Word, and PowerPoint
• Excellent customer service skills and the ability to communicate effectively with individuals at various levels