Enterprise Compliance Sr Associate - Wealth Marketing
Core
Provide compliance advice and guidance on regulatory requirements, internal standards, and disclosure guidelines for marketing materials, serving as a strategic partner to marketing activities.
Role type
Senior Individual Contributor (IC) Compliance Associate
Builds
Marketing communications and materials for wealth management, lifetime income, and annuity products
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Marketing compliance review, FINRA Series 7 license, FINRA Series 24 license, Regulatory acumen (FINRA, NAIC, MSRB, SEC), State insurance rules knowledge, Reg BI knowledge, Advertising regulations knowledge
Preferred skills
Wealth management experience, Broker-dealer experience, Registered investment adviser experience, 529 plan experience, Life insurance experience, Annuity experience, Former regulator experience
Technologies
Compliance review tools, Disclosure libraries, Review checklists
Responsibilities
Review advertising and marketing portfolios for compliance with regulations and internal standards, Coordinate with legal and business partners to resolve compliance issues, Develop and communicate recommendations for regulatory adherence, Inform partners of regulatory changes and assist with procedural revisions, Maintain disclosure libraries and review checklists, Support internal and external examinations and audits, Lead or participate in special projects
Seniority
Senior, hands-on IC
