Compliance Specialist

Job Description

Job Description

GENERAL JOB DESCRIPTION

We’re looking for a Compliance Specialist - Client & Advisor Material Review to join our ranks. Do you have a keen eye for detail and an interest in staying up to date on the ever-changing financial services industry? Do you thrive in a fast-paced and dynamic team-based, collaborative environment? If so, you might be a great fit!

Our growing Compliance Department helps ensure adherence to the state and federal rules and regulations governing the securities industry. Within Compliance, you will serve as the primary reviewer and work closely with the Marketing and Product & Sales teams. You will help ensure that all marketing materials comply with the SEC marketing rule requirements.

MAJOR DUTIES AND RESPONSIBILITIES

• Reviewing and providing feedback on advertising, including investment proposals, awards and rankings, social media posts, recordings, testimonials, website, due diligence questionnaires, investor communications and other materials from advisors and corporate product and marketing teams to help ensure compliance with state and federal regulations, as well as MAI policy.
• Serving as a resource and consultant to our employees by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer alternatives.
• Contributing to high-priority Compliance Department projects on an as-needed basis.
• Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements.
• Staying current on regulations, policies, and industry best practices in order to provide ongoing guidance to business partners.
• Administrator and trainer of the marketing and advertising review system.
• Maintain internal compliance materials including materials on MAI’s disclosure library.

EXPERIENCE / CREDENTIALS

COMPETENCIES

FEATURED BENEFITS :