The Ladders
Manager, Compliance - Advertising
The Ladders, Dallas, Texas, United States, 75215
SUMMARY
The Manager, Compliance - Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review. Additionally, this role works with the VP, Compliance to assist with the management of team members responsible for advertising review.
KEY ACCOUNTABILITIESPerforms compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.Coordinates new client on-boarding and changes to existing client (new fund, advisor change, etc.). Successfully communicates with client about advertising rules and submission process, sets up users in Red Oak.Constantly assesses the overall BD desktop procedures to identify areas of improvement and implement these improvements.Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products.Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.PERSONNEL MANAGEMENT
Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.Establishes team and individual goals for department.Fosters performance of associates and the processes used by them; holds the associates accountable for their work.WORKING RELATIONSHIPS
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.Answers client and internal inquiries and helps resolve any issues. Point of escalation for a team responsible for advertising review, approval, and filing. Website and internet reviews.Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE
Bachelor's degree in business administration, finance, accounting, or related field.7+ years of experience in the financial industry.1-2 years of management and leadership experience.Experience working in an operations or compliance role.FINRA Series 7, 24, 51/53 or ability to obtain Series 7, 24, 51/53 within 12 months.KNOWLEDGE
Securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482.Microsoft Office Suite.Adobe Acrobat.SKILLS AND ABILITIES
Ability to successfully communicate and apply regulatory requirements both internally and to clients of the Firm.Aligns associates with company values and goals.Plans and delegates the work of others.Motivates and inspires others.Assesses performance of self and associates to make improvements or take corrective action.Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.Troubleshoots issues utilizing creative and critical thinking skills.Multitasking, analytical, and organizational skills.Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.Demonstrates personal integrity, responsibility, and accountability.Effectively uses resources such as time and information in conjunction with associates.Participates in solving problems and making decisions.Presents and expresses ideas and information, written and oral, clearly, and concisely.Actively listens to others to achieve understanding and supports an open exchange of ideas and information.Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent education, experience, and KSA's will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
The Manager, Compliance - Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review. Additionally, this role works with the VP, Compliance to assist with the management of team members responsible for advertising review.
KEY ACCOUNTABILITIESPerforms compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.Coordinates new client on-boarding and changes to existing client (new fund, advisor change, etc.). Successfully communicates with client about advertising rules and submission process, sets up users in Red Oak.Constantly assesses the overall BD desktop procedures to identify areas of improvement and implement these improvements.Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products.Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.PERSONNEL MANAGEMENT
Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.Establishes team and individual goals for department.Fosters performance of associates and the processes used by them; holds the associates accountable for their work.WORKING RELATIONSHIPS
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.Answers client and internal inquiries and helps resolve any issues. Point of escalation for a team responsible for advertising review, approval, and filing. Website and internet reviews.Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE
Bachelor's degree in business administration, finance, accounting, or related field.7+ years of experience in the financial industry.1-2 years of management and leadership experience.Experience working in an operations or compliance role.FINRA Series 7, 24, 51/53 or ability to obtain Series 7, 24, 51/53 within 12 months.KNOWLEDGE
Securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482.Microsoft Office Suite.Adobe Acrobat.SKILLS AND ABILITIES
Ability to successfully communicate and apply regulatory requirements both internally and to clients of the Firm.Aligns associates with company values and goals.Plans and delegates the work of others.Motivates and inspires others.Assesses performance of self and associates to make improvements or take corrective action.Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.Troubleshoots issues utilizing creative and critical thinking skills.Multitasking, analytical, and organizational skills.Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.Demonstrates personal integrity, responsibility, and accountability.Effectively uses resources such as time and information in conjunction with associates.Participates in solving problems and making decisions.Presents and expresses ideas and information, written and oral, clearly, and concisely.Actively listens to others to achieve understanding and supports an open exchange of ideas and information.Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent education, experience, and KSA's will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.