Senior Compliance Officer, Sales Communications
Core
Review, supervise, and coordinate approval of advisor sales communications (advertising, literature, digital content) to ensure adherence to securities regulations and internal policies.
Role type
Senior Compliance Officer (Sales Communications)
Builds
Regulatory-compliant marketing materials and communications for financial advisors
Domain
Financial Services / Securities Regulation
Deliverable
client delivery
Required skills
Securities regulatory knowledge, risk assessment, policy interpretation, independent research, stakeholder liaison, record management, deadline management
Preferred skills
Financial advisory business understanding, Adobe Acrobat/Nitro Pro proficiency, bilingualism (French/English)
Technologies
Microsoft Office, Adobe Acrobat, Nitro Pro
Responsibilities
Review and approve advisor sales communications; Educate advisors on regulatory policies; Investigate and resolve compliance violations; Liaise with internal design and business teams; Maintain compliance records; Monitor industry regulatory changes
Seniority
Senior, hands-on IC