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  • ID
    #32203174
  • Salary
    TBD
  • Source
    Commonwealth Financial Network
  • Date
    2022-01-21
  • Deadline
    2022-03-22

Vacancy expired!

Are you an accomplished and experienced leader? Do you understand investment advisory and broker/dealer advertising rules and regulations? We are looking for a compliance supervisor to support our bicoastal Advertising Review team with reviewing advertising, sales, and promotional materials, as well as other written and electronic communications distributed by Commonwealth’s financial advisors and internal teams. As supervisor, you will report to the advertising review manager. You will act as a subject-matter expert, lead team projects and initiatives, assist with staff development and training, and help ensure that the team’s review processes meet regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance. Key ResponsibilitiesReviewing financial planning reports, sponsor materials, and performance-related content

Monitoring ongoing regulatory actions and market changes to ensure that team members are conducting reviews with the most up-to-date industry knowledge

Assessing the effect of regulatory changes across FINRA, the SEC, and state regulatory agencies and working with management on policy and procedure development

Setting performance expectations for staff and promoting ongoing development through training, feedback, and growth opportunities

Evaluating existing procedures to ensure a consistent process with ongoing, team-wide adherence to applicable policies and procedures

Ensuring that our firm’s investment advisory and broker/dealer advertising and communications review policies and procedures remain in compliance with applicable SEC, FINRA, and state rules and regulations

Serving as an escalation point and subject-matter expert for both internal colleagues and affiliated financial advisors and their staff

Core StrengthsDeep knowledge of FINRA and SEC advertising and marketing rules

Understanding of performance advertising rules and their application to dual registrant and RIA-only affiliated advisors

Ability to solve complex problems, assess risks, and offer solutions based on applicable rules and regulations, firm policies, and regulatory interpretive guidance

Adept at reading, analyzing, and interpreting general business publications, professional journals, technical procedures and statutes, and rules and regulations of applicable regulatory and self-regulatory organizations

Detail oriented and decisive

Exceptional ability to provide indispensable service through solution-oriented decision-making, and timely, accurate processing of requests

Flexibly manages shifting priorities, demands, and timelines

Excellent listening, writing, relationship building, coaching, and communication skills

Effectively works and communicates across all levels of the organization

Additional Skills and KnowledgeExperience with investment advisory and broker/dealer advertising

FINRA Series 7 and 24 securities registrations

5+ years of compliance experience

Previous leadership experience

Have we piqued your curiosity? Can you see yourself thriving in this opportunity? Let’s introduce ourselves. Picture Yourself HereImagine keeping company with big thinkers and even bigger doers who share a common purpose to make a profound difference. Figure in an experience-it-to-believe-it culture, massive growth potential, and benefits galore, and you get the full impression. We are committed to providing a supportive, equitable environment where you can bring your full, authentic self to your work every day and truly thrive in meaningful ways—personally and professionally. At Commonwealth, everyone plays a part in our success story. And in building a more diverse and inclusive workplace, we are broadening our perspectives and capabilities. Together, our potential is limitless. We invite you to join us on the path to a brighter future!About CommonwealthCommonwealth Financial Network, Member FINRA/SIPC, a Registered Investment Adviser, provides a suite of business solutions that empowers more than 2,000 independent financial advisors nationwide. J.D. Power ranks Commonwealth “#1 in Independent Advisor Satisfaction Among Financial Investment Firms, Eight Times in a Row.” Privately held since 1979, the firm has headquarters in Waltham, Massachusetts, and San Diego, California.Turning our advisors into raving fans starts by doing the same for our employees. We foster an environment of excellence, growth, rewards, and fun in equal measure, so our employees genuinely enjoy coming to work. Our refreshing workplace culture has earned us 43 Best Place to Work awards—and counting. The Fine PrintWe care about your online safety as a prospective employee and encourage you to exercise caution when responding to job postings online. Commonwealth will never ask potential hiring candidates to pay or transfer funds as a precondition of interviews or employment, nor will we authorize recruiters or agents to do so on our behalf.Commonwealth is an equal opportunity employer, making intentional efforts to source the very best talent from all backgrounds.ID: SD/W-2021-AK External Company URL: https://www.commonwealth.com/ Street: 110 West A Street

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