Brokerage Marketing Compliance Specialist

Fulton Bank • East Lampeter Township, PA

20h • $24 - $40 • Hybrid

About The Position

Our values define us and our culture inspires us to change lives for the better. Our employees are the heart and soul of our company, and every success we experience begins with them. Together we are committed to making a positive impact in our local communities. We champion a culture of continuous learning, work-life integration, and inclusion. We promote a digitally enabled work environment to continuously enhance the experience of our employees and customers.
Overview
This is a full-time, hybrid career opportunity based out of our Corporate headquarters in downtown Lancaster, PA.
Hybrid schedule of 4 days onsite, 1 day work from home post successful training period.
This role plans, coordinates and executes various marketing and communication initiatives for the department that adhere to all legal, compliance and regulatory guidelines under the bank and broker/dealer operating environments. The role will work independently under general direction.

Requirements

• Associate Degree or the equivalent experience. Specialty: business or other applicable. (Required)
• 2 or more years project management, marketing, communications, compliance or other applicable. (Required)
• Must be able to be affiliated with our Broker Dealer. (Required)
• Skill in coordinating multi‑party reviews (Required)
• Ability to sustain accurate public‑facing information (Required)

Nice To Haves

• 3 or more years financial services, securities industry, or equivalent. (Preferred)
• Knowledge of disclosure standards and client communication requirements (Preferred)
• Knowledge of social media governance (Preferred)

Responsibilities

• Manage creation, updates, renewals, and compliance approvals for all Fulton Financial Advisors (FFA) Brokerage related marketing materials, including any material used by FFA or Fulton Bank that references FFA brokerage, Raymond James, and/or investments; and coordinate all FFA Brokerage disclosure and client communication approvals with Raymond James Supervisory Compliance, Fulton Marketing, and Fulton Legal, as appropriate.
• Create monthly marketing/advertising newsletters, identify marketing-related items for weekly updates to educate staff, and maintain all FFA Brokerage marketing, client communication, and retail partnership support materials on the Fulton Bank HUB.
• Manage all social media for FFA Brokerage, including providing resources for financial advisors to use with their own business-related social media accounts.
• Research marketing and advertising opportunities through Fulton Bank and Raymond James that can be incorporated into the FFA Brokerage marketing strategic plan, and implement and administer the annual FFA Brokerage marketing strategic plan
• Responsible for the maintenance, process improvements/implementations, and documentation for all FFA Brokerage marketing/advertising processes; and oversee financial advisor business development allowances.
• Maintain accuracy of public-facing FFA Brokerage staff information residing on Fulton and Raymond James websites and coordinate with web master(s) for updates, including managing team member headshots; and coordinate with approved vendors for maintenance of online storefronts and placing orders related to FFA Brokerage marketing and communication.
• Develop an annual marketing plan for financial advisors and their teams; develop and maintain all FFA Brokerage materials used to educate retail partners, including Huddle Guides, Pocket Guides, and materials for training sessions; and lead training sessions with retail partners to educate them on FFA Brokerage’s function, Broker Dealer relationship, compliance requirements, and how retail staff can introduce Fulton Bank clients to financial advisors.
• Serve as a back-up for Administrator – Brokerage Commission
• Plan, prioritize, and execute specified projects and initiatives, establishing timelines, milestones, communication and reporting touchpoints for management and relevant parties, and consult with managers and vendors as necessary.
• Coordinate and plan internal and external events and department meetings, including logistics, vendor sourcing and selection, facilities, and onsite elements in consultation with senior level managers and in partnership with appropriate internal or external parties.
• Develop, prepare, review, and distribute standard reporting or other documentation to appropriate parties as required, and provide administrative support including ensuring documents are compliant with internal or regulatory standards, and assisting with audits.
• Other Duties as Assigned by Manager

Benefits

• medical plans with prescription drug coverage
• flexible spending account or health savings account depending on the medical plan chosen
• dental and vision insurance
• life insurance
• 401(k) program with employer match and Employee Stock Purchase Plan
• paid time off programs including holiday pay and paid volunteer time
• disability insurance coverage and maternity and parental leave
• adoption assistance
• educational assistance and a robust wellness program with financial incentives

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree