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
Requirements:
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
PM22
PI179973719
Expected salary:
Location: Beachwood, OH
Job date: Wed, 01 Jun 2022 07:28:33 GMT
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