Regulatory Communications Specialist

Nashville Public Radio

St. Louis (MO)

On-site

USD 75,000 - 110,000

Full time

8 days ago

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Benefits offered by this job

Comprehensive benefits package

Job summary

Benjamin F. Edwards in St. Louis seeks a compliance professional to review, approve, and support all internal and external communications to ensure alignment with policy, FINRA/SEC rules, and state laws.

You will collaborate with subject matter experts, conduct regulatory research, prepare filings, and assist in various compliance areas, including Sales Practice and Surveillance. Minimum 2+ years in financial services and a Finance-related degree; SIE, Series 7/66 required at hire, Series 24

Qualifications

Bachelor’s degree in Finance or related field or equivalent work related experience.
2+ years of experience in the financial services industry; preferably in compliance, audit, legal, or operational, credit, or market risk.

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.