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Job ID Number: 1255542348
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Advertising and Sales Literature Review |
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| Job Title: |
Advertising, Sales Literature and Marketing Materials Review Managing Director |
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| State/Location: |
Vermont |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
This position is accountable for managing the Advertising Review Unit (ARU) within Market Conduct and Compliance.
This unit reviews and approves agent/representative-generated and corporate-generated advertisements and sales literature to ensure compliance with FINRA & SEC rules, state insurance regulations and firm compliance policies and procedures.
This area has high visibility within the company and it is critical it be managed appropriately to mitigate risk and ensure sales materials are reviewed in a timely manner.
Key Responsibilities
Manage the day to day work flow of materials to ensure a timely turn around of materials
Manage, train and develop employees currently consisting of five advertising reviewers and one administrative assistant
Track statistics regarding input and output and provide regular reports to management
Provide for the most effective and efficient means of sales materials review, while working to identify means to streamline the overall number of advertising submissions
Ability to review complex materials and diplomatically communicate necessary edits, explain the basis for the problem, and be creative in suggesting alternatives to any problematic language
Work with home office associates in creating pre-approved text for use in electronic forms, help screens, product illustrations, advertising and sales literature and correspondence
Participate in the development of corporate sales literature and advertising policies
Keep abreast of ever changing FINRA and state advertising regulations.
Job Requirements
Ability to work in a fast paced and deadline sensitive environment
Demonstrated knowledge of FINRA, SEC and state insurance and securities rules and regulations is required
Minimum of 10 years relevant experience required
Must hold FINRA Series 7 and 24 registrations
A bachelors degree or the equivalent in years of experience and knowledge is preferred
Strong interpersonal, analytical, communication, presentation and organization skills are essential
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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