Manager, Advertising Review

Cetera • United States,

3d • $91,000 - $120,000 • Remote

About The Position

As a manager of Advertising Review, you will play a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. You will be responsible for overseeing and implementing advertising compliance policies, reviewing, and approving advertising materials, and collaborating with cross-functional teams to ensure adherence to industry regulations. This will require a self-motivated individual with strong critical-thinking and communication skills, who is proactive, adaptable to change and thrives in a fast paced and dynamic environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services. This is a Remote position.

Requirements

• Bachelor’s degree from a four-year college or university, preferably in Finance, Economics, Business Administration, or related field
• A minimum of 5 years of experience in advertising compliance within the financial services industry, preferably at a broker/dealer firm.
• Series 7 and 24 required.
• Series 63 is required (or get within 3 months of start date)
• Strong knowledge of FINRA and SEC regulations, as well as industry best practices in advertising compliance.
• Exceptional attention to detail, analytical skills, and the ability to interpret complex regulatory requirements.
• Strong communication skills to work with advisors, vendors, and internal teams and the ability to collaborate across departments.
• Leadership and team management experience.
• Proficiency in relevant software and compliance tools.
• Proven ability to work independently, meet deadlines, and adapt to a fast-paced and changing regulatory environment.

Responsibilities

• Manage advertising compliance policies and procedures in alignment with FINRA, SEC, and other relevant regulations.
• Review and approve advertising and marketing materials to ensure compliance with industry guidelines and internal policies.
• Provide guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements.
• Stay current with changes in financial industry regulations and update compliance policies as needed.
• Collaborate with external legal counsel and regulatory agencies as necessary to address compliance issues and inquiries.
• Monitor and track advertising campaigns, keeping detailed records and documentation of compliance efforts.
• Conduct periodic audits and reviews to identify and rectify potential compliance violations.
• Manage and lead a team of compliance professionals, providing guidance, training, and performance evaluations.
• Collaborate with the company's legal and risk management departments to ensure consistency in compliance standards.
• Prepare and submit necessary reports and compliance documentation to regulatory agencies.

Benefits

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

What This Job Offers

• Job Type: Full-time
• Career Level: Manager