Recent Searches

You haven't searched anything yet.

4 Marketing Review Specialist Jobs in Independence, OH

SET JOB ALERT
Details...
MAI Wealth Management
Independence, OH | Full Time
$52k-67k (estimate)
10 Months Ago
COLSON GROUP HOLDINGS, LLC
Independence, OH | Full Time
$63k-84k (estimate)
5 Days Ago
MAI Wealth Management
Independence, OH | Full Time
$67k-84k (estimate)
5 Months Ago
Colson Group
Independence, OH | Full Time
$66k-88k (estimate)
3 Days Ago
Marketing Review Specialist
MAI Wealth Management Independence, OH
$52k-67k (estimate)
Full Time 10 Months Ago
Save

sadSorry! This job is no longer available. Please explore similar jobs listed on the left.

MAI Wealth Management is Hiring a Marketing Review Specialist Near Independence, OH

GENERAL JOB DESCRIPTION

This position will reside within the Compliance department and collaborate with the Chief Compliance Officer (CCO) and the rest of the Compliance Team to support the Compliance Program. The Marketing Review Specialist will lead the compliance efforts related to advertising review in compliance with Rule 206(4)-1 under the Investment Advisers Act of 1940. Additional responsibilities can vary based on needed support for the comprehensive Compliance Program of the firm; however, ad review will be the primary responsibility.


MAJOR DUTIES AND RESPONSIBILITIES

  • Lead the compliance efforts pertaining to review of advertising/marketing materials, including proposals, rankings, social media posts, recordings, testimonials, website, due diligence responses, investor communications and other materials that meet the definition of advertising in compliance with the SEC regulatory requirements and related company policies.
  • Assist in the review and implementation of the firm’s policies and procedures related to marketing and ad review.
  • Demonstrate expertise in the assigned area.
  • Provide strong compliance support and serve as the main compliance point of contact between the firm and various business partners related to ad review.
  • Effectively communicate and respond to submitter inquiries about advertising compliance issues.
  • Stays current on regulations, policies, industry best practices, etc., in order to provide ongoing guidance to business partners and conduct quality reviews.
  • Serve as the administrator and trainer of the marketing and advertising review system.
  • Maintain internal compliance materials such as disclosure library, reference material, etc.
  • Complete special projects assigned to Compliance.
  • Perform any other functions which may be required to support the compliance program.


EXPERIENCE/CREDENTIALS

  • Degree in business, finance or a related field, or comparable industry experience.
  • 5 years of industry experience, working in compliance within a registered investment adviser with an emphasis on advertising and communication reviews.
  • Additional skills in Microsoft Dynamics CRM and/or MS Office, especially Excel Pivot Tables
  • Basic knowledge of securities products is a plus.


COMPETENCIES

  • Ability to multi-task, prioritize and meet deadlines in a demanding environment.
  • Maintains absolute confidentiality of all client information and safeguards client and firm data; maintains high ethical standard in all practices
  • Professional and positive demeanor, superb work ethic, high level of personal ethics and integrity
  • Competent and knowledgeable of SEC rules and regulations that apply to communications, specifically Rule 206(4)-1 under the Investment Advisers Act of 1940.
  • Motivated to learn and be the subject matter expert in ad review.
  • Thrives in a fast-paced and dynamic team-based, collaborative environment.
  • Strong interpersonal, verbal, and written communication skills.
  • Ability to communicate complex regulatory concepts in a clear and concise manner.
  • Demonstrated ability to work effectively with business partners and regulatory agencies.
  • Able to use and learn a variety of software technologies. Knowledge of and experience using systems such as Red Oak, Seismic, My Compliance Office (MCO) preferred.


FEATURED BENEFITS

  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • 401(k)
  • Health Savings Account
  • Paid Maternity Leave
  • Paid Parental Leave
  • Tuition Reimbursement
  • Wellness Program

Job Summary

JOB TYPE

Full Time

SALARY

$52k-67k (estimate)

POST DATE

05/03/2023

EXPIRATION DATE

06/15/2023

Show more

MAI Wealth Management
Full Time
$61k-91k (estimate)
1 Week Ago
MAI Wealth Management
Full Time
$65k-81k (estimate)
2 Weeks Ago
MAI Wealth Management
Full Time
$144k-189k (estimate)
3 Weeks Ago