Compliance Communications Associate

Benjamin F Edwards & Co•Clayton, MO

1d•Onsite

About The Position

Provide review, approval, and support services for all internal and external communications and ensure they are within standards set by internal policies and procedures, and various regulatory agencies.

Requirements

Ability to manage and prioritize multiple tasks while meeting tight deadlines.
Excellent interpersonal and communications skills, with the ability to interact with individuals at all levels within the Firm.
Demonstrated ability to independently evaluate a situation, exercise judgment, and render a decision.
Strong knowledge of FINRA and SEC Rules, and applicable state laws.
Proficient with Microsoft Office Suite.
Familiarity with Global Relay and Red Oak Advertising Review a plus.
Bachelor’s degree in Finance or related field or equivalent work related experience.
2+ years of experience in the financial services industry; preferably in compliance, audit, legal, or operational, credit, or market risk.
SIE, Series 7 and 66 at time of hire.
Ability to obtain Series 24 within 120 days

Nice To Haves

Familiarity with Global Relay and Red Oak Advertising Review a plus.

Responsibilities

Review, analyze and approve all internal and external advertising and other communications with the public pursuant to Investment Advisor and Broker/Dealer regulatory rules and regulations.
Partner with subject matter experts in the review, analysis and approval of all seminars, websites, website pages, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, client facing analysis, and other initiatives.
Conduct regulatory research as assigned.
Assist in the preparation of regulatory filings and revisions.
Review and approve all radio and television programs.
Assist other in Compliance areas such as Sales Practice, Surveillance, and Employee Activities as needed.