Principal Marketing Regulatory Review Analyst

Title: 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


Requirements

• 3+ years of financial services experience specifically in advertising/marketing compliance review, applying FINRA 2210 to advisorcreated content.
• Prior experience in a clientfacing role-comfortable on the phone and able to clearly explain complex issues and ask openended questions.
• Strong knowledge of FINRA 2210, SEC, and state rules related to communications with the public.
• Licensing Required: Active Series 7 and Series 24.
• "Red line marketing review" - making revisions themselves, not just approving/denying content
• Must have performed advisor-created marketing regulatory reviews applying FINRA 2210 and SEC regulations

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.


Position Summary:

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 with the onboarding professional. The Onboarding Advisor Communications Supervisory Principal will work closely with several departments/groups throughout the organization.


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.

We are an equal opportunity employer and welcome applications from all qualified candidates regardless of race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Apex uses a virtual recruiter as part of the application process. Click here for more details.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Benefits Department at [email protected] or View phone number on click.appcast.io.

Everforth Apex is a world-class IT services company that serves thousands of clients across the globe. When you join Everforth Apex, you become part of a team that values innovation, collaboration, and continuous learning. We offer quality career resources, training, certifications, development opportunities, and a comprehensive benefits package. Our commitment to excellence is reflected in many awards, including ClearlyRateds Best of Staffing® in Talent Satisfaction in the United States and Great Place to Work® in the United Kingdom and Mexico.

Everforth Apex uses a virtual recruiter as part of the application process. Click here for more details. By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from Everforth Apex and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy at

Everforth Apex Benefits Overview: Everforth Apex offers a range of supplemental benefits, including medical, dental, vision, life, disability, and other insurance plans that offer an optional layer of financial protection. We offer an ESPP (employee stock purchase program) and a 401K program which allows you to contribute typically within 30 days of starting, with a company match after 12 months of tenure. Everforth Apex also offers a HSA (Health Savings Account on the HDHP plan), a SupportLinc Employee Assistance Program (EAP) with up to 8 free counseling sessions, a corporate discount savings program and other discounts. In terms of professional development, Everforth Apex hosts an on-demand training program, provides access to certification prep and a library of technical and leadership courses/books/seminars once you have 6+ months of tenure, and certification discounts and other perks to associations that include CompTIA and IIBA. Everforth Apex has a dedicated customer service team for our Consultants that can address questions around benefits and other resources, as well as a certified Career Coach. You can access a full list of our benefits, programs, support teams and resources within our 'Welcome Packet' as well, which an Everforth Apex team member can provide.

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.

If you require an accommodation under the Americans with Disabilities Act to participate in an interview with a virtual recruiter or to use our website for a search or application, please contact our Benefits Department at [email protected] or View phone number on click.appcast.io. Please note that this contact information is strictly to be used for medical ADA accommodations and that no other inquiries will be answered.

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