Compliance Communications Associate

Benjamin F. Edwards; St. Louis (MO); On-site; USD 75,000 - 110,000; Full time

Job summary

Benjamin F. Edwards in Missouri seeks a compliance professional to review, approve, and support all internal and external communications to ensure adherence to firm policies and applicable FINRA/SEC rules.

You will partner with subject matter experts to review seminars, websites, promotional materials, press releases, webinars, articles, social media, and client communications; conduct regulatory research; and assist in regulatory filings and revisions.

Qualifications

• Bachelor’s degree in Finance or related field or equivalent work related experience.
• 2+ years in the financial services industry; preferably in compliance, audit, legal, or operational, credit, or market risk.
• SIE, Series 7 and 66 at time of hire. Ability to obtain Series 24 within 120 days.

Responsibilities

• Review, analyze and approve all internal and external advertising and other communications.
• with the public pursuant to Investment Advisor and Broker/Dealer regulatory rules and regulations.
• Partner with subject matter experts in the review, analysis and approval of all seminars, websites, website pages, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, client facing analysis, and other initiatives.
• Conduct regulatory research as assigned.
• Assist in the preparation of regulatory filings and revisions.
• Review and approve all radio and television programs.
• Assist other in Compliance areas such as Sales Practice, Surveillance, and Employee Activities as needed.

Skills

Interpersonal skills

Communication

Judgment

Regulatory knowledge

Education

Bachelor’s degree in Finance

Equivalent work experience

SIE/Series 7/66 license and Series 24 goal

Tools

Microsoft Office Suite

Global Relay

Red Oak Advertising Review

Job description

Provide review, approval, and support services for all internal and external communications and ensure they are within standards set by internal policies and procedures, and various regulatory agencies.

• Review, analyze and approve all internal and external advertising and other communications
• with the public pursuant to Investment Advisor and Broker/Dealer regulatory rules and regulations.
• Partner with subject matter experts in the review, analysis and approval of all seminars, websites, website pages, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, client facing analysis, and other initiatives.
• Conduct regulatory research as assigned.
• Assist in the preparation of regulatory filings and revisions.
• Review and approve all radio and television programs.
• Assist other in Compliance areas such as Sales Practice, Surveillance, and Employee Activities as needed.

Qualifications

• Ability to manage and prioritize multiple tasks while meeting tight deadlines.
• Excellent interpersonal and communications skills, with the ability to interact with individuals at all levels within the Firm.
• Demonstrated ability to independently evaluate a situation, exercise judgment, and render a decision.
• Strong knowledge of FINRA and SEC Rules, and applicable state laws.
• Proficient with Microsoft Office Suite. Familiarity with Global Relay and Red Oak Advertising Review a plus.

Education And/or Work Experience

• Minimum Education Required: Bachelor’s degree in Finance or related field or equivalent work related experience.
• Minimum Work Related Experience: 2+ years of experience in the financial services industry; preferably in compliance, audit, legal, or operational, credit, or market risk.

Licenses/Registration

• Minimum Required: SIE, Series 7 and 66 at time of hire. Ability to obtain Series 24 within 120 days

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an airconditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.

Benjamin F. Edwards is an Equal Opportunity Employer.