Description
Summary
The Advertising Compliance Senior Analyst – Advisory reviews, edits, advises, and verifies the final copy in accordance with all appropriate marketing rules and regulations promulgated under the Investment Advisers Act of 1940 (as amended).
Essential Duties and Responsibilities
• Reviews investment advisory communications intended to be distributed to members of the public for consistency with SEC regulations, Firm policies and procedures, and Firm image.
• Marks and communicates required changes to the materials or offers possible alternative materials, when available, if submitted materials are not approvable.
• Answers questions from Stifel's investment advisory affiliates, financial advisors, branch managers, and others pertaining to the submitted materials and required changes, as needed.
• Verifies that changes indicated have been made upon resubmission or remarks changes still to be made.
• Approves or denies materials for Stifel's investment advisory affiliates, financial advisors, branch managers, and any other designated individual in the branch or home office.
• Helps maintain communications through AdTrax as needed to ensure accurate documentation and availability of information.
• Actively pursues gaining additional knowledge and licenses to fully respond to material submissions
• Interacts regularly with the Asset Management Chief Operating Officer and Stifel's investment advisory affiliates, flagging issues as they arise, to optimize review timeliness.
Qualifications
• Strong knowledge of Marketing rules codified in the Investment Advisers Act of 1940 (as amended) – including historical rules, no-action letters, and new rules effective November 2022.
• Strong understanding of SEC investment advisory rules/regulations, industry practices, and application of the same to the firm's business model.
• Ability to communicate complex regulatory concepts clearly and concisely.
• Ability to manage multiple priorities with tight deadlines.
• Ability to understand industry regulations, especially concerning communication with the public.
• Knowledge of media production, communication, and dissemination techniques and methods, including alternative ways to inform and entertain via written, oral, and visual media.
Education and Experience
• Minimum Required: Bachelor's Degree in a related field or equivalent experience.
• Minimum Required: 5+ years of experience in investment advisory or one year of investment advisory marketing rule experience.
Licenses and Credentials
• Minimum Required: FINRA Series 65 or 66 is preferred or the ability to obtain.
Systems and Technology
• Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
Disclaimer
NOTE: Job descriptions are intended to be accurate reflections of those principal job elements essential for making fair pay decisions about jobs. Nothing in this job description restricts management right to assign or reassign duties and responsibilities to this job at any time.
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
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