Senior Advisor, Communications – OBA Supervisory Principal

Job Description:

  • 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.
  • Assist with research and response to regulatory inquiries including branch exams.
  • Contribute to department initiatives that may include policy updates and training.
  • Other tasks and projects as assigned.

Requirements:

  • 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.
  • Strong knowledge of FINRA, SEC, and State rules and regulations
  • Licensing Requirement: Series 7, 24
  • 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.

Benefits:

  • 401K matching
  • health benefits
  • employee stock options
  • paid time off
  • volunteer time off
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