Advisors Excel is hiring: Compliance Advertising Manager in Topek...
Advisors Excel - Topeka, KS, United States, 66652
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Overview
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Overview
- Lead and develop a team of Advertising Review Analysts to ensure marketing materials comply with state and federal regulations.
- Act as an internal consultant, guiding advisors and business partners through the advertising review process.
- Review and approve a variety of materials, including consumer-facing advertisements, sales training content, and promotional communications.
- Collaborate with business units to align compliance procedures with industry best practices.
- Stay ahead of regulatory changes and ensure compliance with FINRA, SEC, and state regulations.
- Identify opportunities for process improvement and efficiency in advertising review workflows.
- Assist in the development and implementation of advertising review policies and procedures to maintain compliance best practices.
- Analyze regulatory impacts of advertising materials on other compliance areas, such as supervision, books and records, and privacy regulations.
- Provide training and mentorship to internal teams and advisors on advertising compliance and regulatory expectations.
- 5+ years of experience in securities industry supervision, compliance, or regulatory management.
- Strong knowledge of FINRA, SEC, and state advertising regulations.
- Exceptional communication skills-both written and verbal.
- Detail-oriented with strong organizational and analytical skills.
- Ability to work cross-functionally with advisors, marketing teams, and compliance professionals.
- Series 7, 24, and 65 licenses preferred
- Experience with marketing review processes.
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package from your start date
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- Employee sponsored events...and more!
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