SUMMARY
The Senior Compliance Specialist - Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review.
KEY ACCOUNTABILITIES
- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.
- May travel for off-site client office exams.
- Conducts various website and internet reviews.
- Assists with departmental projects assigned. For example, annual due diligence review of vendors, agreements, clients, and products.
- Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.
WORKING RELATIONSHIPS
- Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
- Answers client and internal inquiries and helps resolve any issues.
- Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.
May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE
- Bachelor's degree in business administration, finance, accounting, or related field.
- 5+ years of experience in the financial industry.
- Experience working in an operations or compliance role.
- FINRA Series 7 & 24.
- Equivalent education and experience will be considered.
KNOWLEDGE
- Securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482.
- Microsoft Office Suite.
- Adobe Acrobat.
SKILLS AND ABILITIES
- Ability to successfully communicate and apply regulatory requirements both internally and to clients of the Firm.
- Aligns associates with company values and goals.
- Plans and delegates the work of others.
- Motivates and inspires others.
- Assesses the performance of self and associates to make improvements or take corrective action.
- Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
- Troubleshoots issues utilizing creative and critical thinking skills.
- Multitasking, analytical, and organizational skills.
- Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
- Demonstrates personal integrity, responsibility, and accountability.
- Effectively uses resources such as time and information in conjunction with associates.
- Participates in solving problems and making decisions.
- Presents and expresses ideas and information, written and oral, clearly, and concisely.
- Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
- Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
- Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
- Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
