Advertising Compliance Manager - Hybrid
About the position
Direct the day-to-day Advertising Compliance operations for the WFG & TFA organizations. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency regarding the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.
Responsibilities
• Establish and maintain departmental policies and procedures.
• Review complex marketing material ensuring adherence to firm policy and regulatory standards.
• Manage a team of compliance analysts, providing ongoing training and support.
• Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
• Foster strong vendor relationships with advertising related vendors supporting firm tools.
• Develop and provide training to WFG and TFA Financial Professionals.
• Provide mentorship and assist in analyzing the impact of regulatory changes related to Advertising Compliance.
• Handle matters of escalation, supporting and developing team members in the process.
• Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
Requirements
• Bachelor’s degree
• A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance
• 1 year of managerial experience
• FINRA Series 7/24 or obtained within 6 months of employment
• Excellent written and verbal communication skills
• Advanced analytical skills, interpretive, organizational and negotiation skills
Nice-to-haves
• FINRA Series 65/66
Benefits
• Compensation Benefits
• Competitive Pay
• Bonus for Eligible Employees
• Benefits Package
• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities
• Health and Work/Life Balance Benefits
• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs
Apply Now
Apply Now
Direct the day-to-day Advertising Compliance operations for the WFG & TFA organizations. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency regarding the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.
Responsibilities
• Establish and maintain departmental policies and procedures.
• Review complex marketing material ensuring adherence to firm policy and regulatory standards.
• Manage a team of compliance analysts, providing ongoing training and support.
• Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
• Foster strong vendor relationships with advertising related vendors supporting firm tools.
• Develop and provide training to WFG and TFA Financial Professionals.
• Provide mentorship and assist in analyzing the impact of regulatory changes related to Advertising Compliance.
• Handle matters of escalation, supporting and developing team members in the process.
• Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.
Requirements
• Bachelor’s degree
• A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance
• 1 year of managerial experience
• FINRA Series 7/24 or obtained within 6 months of employment
• Excellent written and verbal communication skills
• Advanced analytical skills, interpretive, organizational and negotiation skills
Nice-to-haves
• FINRA Series 65/66
Benefits
• Compensation Benefits
• Competitive Pay
• Bonus for Eligible Employees
• Benefits Package
• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities
• Health and Work/Life Balance Benefits
• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs
Apply Now
Apply Now