About the position
The Marketing Compliance Associate will ensure that all marketing and advertising materials adhere to legal and regulatory requirements, protecting both the company and its clients. This role will involve reviewing advisor and product materials, providing guidance, and staying up-to-date on relevant laws and industry best practices.
Responsibilities
- Examine marketing materials, such as presentations, websites, and social media, to ensure they are accurate, truthful, and compliant with regulations.
- Offer support and advice to sales and marketing teams on how to create compliant materials.
- Help create and maintain internal policies and procedures related to marketing compliance.
- Identify potential compliance risks associated with marketing activities and implement strategies to mitigate them.
- Monitor changes in regulations and industry best practices to ensure continuous compliance.
- Collaborate closely with legal, compliance, and product teams to ensure a consistent approach to marketing compliance.
- Maintain records of all approved and reviewed marketing materials.
Requirements
- Experience in financial compliance is required.
- Deep knowledge of relevant laws and regulations governing financial products and marketing, including SEC and FINRA rules.
- Familiarity with financial products and services such as investment products, insurance products, and financial planning services.
- The ability to analyze marketing materials and identify potential compliance issues.
- Meticulous attention to detail to ensure accuracy in all reviewed materials.
- The ability to communicate compliance requirements clearly and build relationships with various stakeholders as a trusted collaborator.
Nice-to-haves
- Ability to act as a confident and trusted resource, building consensus and fostering stakeholder buy-in.
- More than just a decision-maker, you're a transparent collaborator who can explain the rationale behind compliance decisions.
- Possession of the Series 63, 65, 7, 24, or 53 licenses, or a willingness to acquire one or more, is a plus!
Benefits
- Competitive comp package that rewards impact
- Full health benefits + 401(k) matching & Roth IRA options
- Unlimited PTO
