Job Vacancy Compliance Analyst – RIA Advertising Review Stratos Wealth Partners

Job title: Compliance Analyst – RIA Advertising Review

Company: Stratos Wealth Partners

Job description: Description:

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to focus primarily on RIA Advertising review and approval. We are a growing department that offers room to develop and advance skills.

Essential Duties and Responsibilities:

  • Primary Function: Review and approval of RIA advertising
  • With team and under the guidance of management, review and approve RIA advertising submitted by advisors
  • Implementing technology tool to provide administrative support and document retention
  • Appropriately collaborate with team members to assist with effective and efficient advertising reviews and approvals
  • Provide adequate guidance and communication to advisors regarding advertising reviews and requested changes. Be available to advisors to provide education.
  • Continually work to improve the advertising review and approval program by offering suggestions for improvement and collaborating with team members and management to implement solutions

Additional Responsibilities:

  • Facilitate advertising review through LPL
  • Complete assigned Branch Exams with all appropriate write-ups and follow ups
  • Respond to incoming Compliance inquiries
  • Perform additional projects and tasks in support of the Stratos Compliance program as assigned


Skills / Key Competencies Required:

  • Bachelor’s degree
  • Series 65 and/or prior RIA advertising review experience
  • FINRA SIE, Series 7, and 24 a plus
  • Attention to Detail / Data Organization
  • Proficient with technology
  • Strong communication skills, written and verbal
  • Ability to work in a fast-paced, changing environment
  • Collaborative mentality; strong team orientation



Expected salary:

Location: Beachwood, OH

Job date: Wed, 01 Jun 2022 07:28:33 GMT

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