Marketing Material Reviewer- Reviewing public communications such as Articles, Interviews, Advisors Biographies, Social Media Post, Newsletter etc along with Electronic Communication review. to ensure that all the information and communications are compliant as per the regulators.
- Review of marketing and advertising materials consistently to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA, GIPS), industry standards and internal company policy during communications review.
- Establish and maintain relationships with business partners and foster/promote a culture of compliance, and provide guidance to marketing relating to applicable rules and regulations on BAU materials, new initiatives, products and campaigns.
- Develop a keen sense for assisting in continuously assessing and communicating compliance risks, suggestions for improvements and create consensus among department leaders and business unit leaders, as applicable.
- Build knowledge of and stay up to date on regulatory and industry changes and assist in the development of impact assessment and summary communication for his/her business partners.
- Work collaboratively with appropriate Legal or Compliance SME when there are questions about the interpretation of regulations or internal policies. Identify materials needing substantive legal or compliance review and circulate to the proper reviewer.
- Review to ensure product and strategies material is fair, balanced and complete in support of business growth initiatives.
- Build knowledge specific to product and strategies.
- Designate whether FINRA filing is required on each file reviewed.
- Work with Submitter and/or content owner to resolve any FINRA comments and document action taken in the file.
- Work on projects as assigned, including implementing and updating policies and procedures as they relate to areas of responsibility.
- Monitor electronic communications, identifying and addressing any potential compliance risks, and identifying any new monitoring needs.
