-
ID
#32203174 -
Salary
TBD -
Source
Commonwealth Financial Network -
Date
2022-01-21 -
Deadline
2022-03-22
Compliance Supervisor, Advertising Review
California, San diego, 92101 San diego USAVacancy 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
Vacancy expired!