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Apex Systems
Principal Marketing Regulatory Review AnalystApex Systems • Fort Mill, SC, United States
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Principal Marketing Regulatory Review Analyst

Principal Marketing Regulatory Review Analyst

Apex Systems • Fort Mill, SC, United States
28 days ago
Salary
$40.00 hourly
Job type
  • Full-time
Job description

Principal Marketing Review Analyst

Large Financial Client

Duration: 6+ months

Location: 100% Remote - Preference is to work EST or CST

Target start date: 6/23

Hourly Rate: $40-$45/HR

The Onboarding Advisor Communications Supervisory Principal will review and approve marketing materials and other public communications for financial professionals and their staff. This principal will serve as the first point of contact from a marketing regulatory review perspective for onboarding professionals and will work closely with several internal departments.

Responsibilities:

  • Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
  • Content reviews will range from stationery, websites, announcement letters, designations, titles, educational credentials, third party awards and more as needed.
  • Consult with internal partners and potentially advisors on their marketing materials.
  • Assist with data collection and intake of marketing materials as needed for principal review.

Requirements:

  • 3+ years of prior financial services specifically with advertising/marketing compliance review experience applying FINRA 2210 to advisor created content.
  • Prior experience in a client-facing role very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.
  • Strong knowledge of FINRA 2210, SEC, and State rules and regulations related to communications with the public
  • Licensing Requirement: Series 7, 24

Core Competencies:

  • Ability to work in a fast paced/high volume environment and be flexible with work schedule.
  • Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills.
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.
  • Working knowledge of Smartsheet, Excel, Word, PowerPoint, Adobe Pro and BOX
  • Excellent customer service skills and the ability to communicate effectively with individuals at various levels.

Preferences:

  • Licensing: 66 (or 63 and 65)
  • Bachelor's Degree Preferred

Systems Experience:

  • Reviewed marketing within FMG, Snappy Kraken and Emerald/Broadbridge

Compensation & Benefits:

The estimated pay rate for this contract position is between $40 and $45 per hour.

Everforth Apex Systems is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Everforth Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law.

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Principal Marketing Regulatory Review Analyst • Fort Mill, SC, United States

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