Senior Advisor, Communications – OBA Supervisory Principal
North Carolina, United States of America
Full Time
1 week ago
$74,057 - $123,497 USD
Visa Sponsor
Key skills
CommunicationTime ManagementCollaboration
About this role
Role Overview
- Review and approve marketing materials and public communications
- Review Outside Business Activity and Private Securities Transaction requests
- Serve as a Subject Matter Expert (SME)
- Evaluate marketing materials and provide guidance on changes for approval
- Review outside business activities for compliance
- Consult with advisors on marketing initiatives and transactions
- Assist with regulatory inquiries
Requirements
- 3+ years of prior financial services and advertising/marketing compliance review experience
- Prior experience in a client-facing role
- Knowledge of FINRA, SEC, and State rules and regulations
- Licensing Requirement: Series 7, 24
- Ability to work in a fast paced/high volume environment and be flexible with work schedule.
- Customer Focus, Collaboration, Time Management & Organization
- Oral and written communication skills.
- Ability to multi-task, attention to detail, problem-solving and follow-up skills are essential for this position.
- Working knowledge of Excel, Word, and PowerPoint.
- Customer service skills and the ability to communicate effectively with individuals at various levels.
Benefits
- 401K matching
- health benefits
- employee stock options
- paid time off
- volunteer time off