Analyst, Advertising Compliance
Support the marketing initiatives of the advisors who utilize Kestra Financial. From print items, to social media campaigns and seminars, financial professionals must comply with an array of regulatory requirements. This position is charged with reviewing an advisors communications, providing individually tailored solutions to ensure the piece meets regulatory standards, and maintaining appropriate records.
To perform this job successfully, individual must be able to execute each essential duty satisfactorily.
* Timely review and approval of material submitted with minimal supervision.
* Proactively assist representatives with making advertising pieces compliant with regulatory standards and internal policies.
* Assist in the development and management of controls, systems, procedures, files, and records as required by FINRA, SEC and state regulatory agencies.
* Assist in developing, updating and maintaining; written supervisor procedures, training material, compliance library of approved material, and compliance issued communications.
* Participate in the training and development of fellow Advertising Analysts.
* Interact effectively with Kestra Financial representatives, product wholesalers, outside Broker/Dealers and Registered Investment Advisors, agents, advertising agencies and public relation firms.
* Perform special projects as assigned.
* Diplomatically communicate content concerns to representatives, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language.
* Assist with training of internal personnel and field force on advertising processes, procedures, and regulations.
* Maintain appropriate books and records pursuant regulatory requirements.
* Assist to ensure company policies and procedures are followed.
* Communicate questions and concerns to/from representatives or home office staff to other Analysts and Management.
* File communications with FINRA for review.
* Conduct research of regulations as needed.
* Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.
Must provide a consistently excellent customer service experience.
* Must understand, accurately interpret, and apply regulatory framework.
* Communicate difficult messages with empathy.
* Understand securities and insurance products as well as investment advisory services.
* Be comfortable in high pressure, quick deadline situations.
* Must be flexible and able to adapt to changing work environment.
* Have a sound knowledge of Advertising Rules and Regulations, including a working knowledge of FINRA Rule 2210 and 206(4)-1 of the Investment Advisers Act.
* Must demonstrate advanced knowledge of Microsoft Excel.
* Must be able to read, analyze and reconcile rules to documents.
* Individual must also possess good analytical skills, problem solving skills, and outstanding communication skills, both verbal and written.
* Attention to detail is imperative.
* Bachelors Degree preferred
* Minimum 2 years industry experience
* FINRA Series 7 License required
* FINRA Series 24 License required or the ability to obtain within 60 days of hire
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.
analytical skills, marketing, microsoft excel, social media, research, advertising, customer service, teamwork, brand development, problem solving, organization, creativity, insurance, written and verbal communication, training & development