Marketing Compliance Specialist

Stifel•St. Louis, MO

13d•Onsite

About The Position

The Marketing Compliance Specialist position will focus primarily on reviewing social media for compliance and approving items for use with the public, such as social media profiles, posts, and firm-level marketing campaigns. In addition, this position will assist in reviewing and approving marketing materials such as videos, digital ads, podcasts, and materials for advisor recruits.

Requirements

Ability to explain the complex policies, rules, and regulations of the industry and firm to those who do not have a compliance background.
Receive direction from team leaders and exercise independent judgment to assist the team in resolving issues, finding the best path forward, and achieving goals.
Ability to be service-oriented to understand others, anticipate needs, and help solve their problems.
Strong customer service, interpersonal communication skills, and attention to detail.
Ability to take direction from team leads and handle efforts with minimal oversight.
Highly organized individual, capable of handling multiple projects simultaneously and meeting deadlines.
A strong understanding of social media platforms and the social media regulatory environment.
Ability to work alongside other teams effectively.
Experience working to tight deadlines and in high-pressure situations.
Ability to understand industry regulations, especially concerning communication with the public.
A comprehensive understanding of FINRA regulations under 2210 and 482, Stifel policies and procedures, and company branding requirements.
Bachelor's Degree in a related field or a combination of education and experience.
2+ years of financial industry experience.
FINRA Series 7, 63 or 66, and 24.
Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Nice To Haves

Experience working with the Social Patrol supervision tool is preferred.

Responsibilities

Review materials including, but not limited to, social media profiles, social media content, scripts, videos, podcasts, digital ad campaigns, advisor recruiting materials, and national brand campaign materials for use with the public, ensuring that firm and regulatory policies are met.
Provide direction on following firm and industry regulations to other marketing team members, advisors, and other members related to their projects and campaigns.
Develop a thorough understanding of the corporate brand guidelines and voice so that all projects represent the brand well and meet regulatory guidelines.
Interpret and find ways to implement policies, procedures, and compliance requirements to ensure brand compliance with firm and regulatory requirements.
Monitor and stay current with changes in the social media landscape, including understanding and making recommendations on new platforms as they are developed.
Propose new processes and procedures to streamline the review process for all materials.