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

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Advertising Compliance Manager - Hybrid