Our Newest Opportunity:
Summary:
This role is responsible for the review of all advertising and social media to guarantee accuracy, fairness, and adherence to industry standards. You will collaborate with the Retirement Plan Consultants, Wealth Management Advisors and Marketing to develop compliant advertisements.
Essential Duties and Responsibilities:
Advertising / Social Media Review:
- Review of all advertising submissions (including websites and social media accounts) for compliance with applicable advertising rules and regulations, including those set forth by the SEC and FINRA.
- Ensure all advertising materials accurately represent the firm's services, fees, and investment strategies.
- Identify and address any misleading or deceptive content in marketing materials.
- Maintain the advertising review process to ensure consistent and efficient review of all submissions.
- Work with the compliance team to help ensure the archiving of the firm’s and/or its supervised persons’ websites and social media accounts via the firm’s third-party archiving system.
- Escalate as needed, any compliance concerns identified during the advertising review process.
- Other tasks and duties as specified by Compliance Managers/Directors and/or the Chief Compliance Officer, which are compliance related but may not be related to advertising.
Compliance Team Liaison for Marketing:
- Serve as a Compliance Team Liaison for the Marketing Team and local office teams on all marketing-related matters and provide support, as needed.
- Foster a collaborative working relationship with the Marketing Team to achieve shared goals.
- Provide clear and concise guidance on compliance requirements for marketing initiatives.
- Respond promptly and effectively to inquiries from the Marketing Team regarding advertising compliance.
Leadership and Communication:
- Coordinate with Compliance Team leaders to increase the effectiveness of the overall compliance program.
- Communicate effectively with Compliance Team Management on activities and findings related to advertising review.
Qualifications, Skills and Requirements:
- Excellent communication and presentation skills.
- Proven ability to collaborate effectively with internal teams to deliver exceptional service.
- Deep understanding of fiduciary governance principles.
- Entrepreneurial spirit and a collaborative approach to problem-solving.
- Self-motivated with a commitment to excellence and a high level of integrity.
- Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint), Adobe Acrobat, and Salesforce.
- Experience with advertising-related and/or compliance-related systems like Saifr, Hearsay, FMG Suite, Seismic and/or MirrorWeb preferred.
- Demonstrated discipline maintaining operational details in a centralized location and reporting on status.
- Proven success with multi-tasking and managing priorities effectively.
- Ability to adapt to a rapidly changing business and technology environment.
- Continual learner mentality, able to adopt new solutions and interpret the impact of new laws for prospective clients.
- Must be able to maintain confidentiality of highly sensitive client information, including personnel and financial data.
- A general understanding of building and maintaining control environment structures
- Broad knowledge of regulations administered by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the Department of Labor (DOL).
- Regular and predictable attendance is required.
- Business travel up to 5%.
- Conversational understanding of Spanish (preferred)
Education, Training and Experience:
- Bachelor's degree in Business, Economics, Finance, or a related field (preferred), or relevant compliance advertising review experience
- Minimum 3 Years of Relevant Experience: We seek a highly motivated compliance professional with at least 3 years of experience in advertising review within the financial services industry.
The typical base pay range for this role nationwide is $100,000 to $115,000 per year.
Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.
To learn more, visit: www.onedigital.com/careers
