What are the responsibilities and job description for the Regulatory Specialist position at Brookstone Capital Management?
About Our Company
Brookstone Capital Management is a leading provider of financial services, dedicated to delivering innovative solutions to our clients. With a strong commitment to excellence, we strive to provide exceptional service and support to our network of 750 Financial Advisors across all 50 states.
Job Description
We are seeking a skilled Regulatory Specialist to join our team, responsible for ensuring the highest level of compliance with relevant laws and regulations. Key responsibilities include reviewing client accounts, approving marketing materials, and training employees on policies and procedures.
Requirements
- Bachelor's degree in Finance or related field from a four-year college.
- Strong understanding of the Investment Advisers Act of 1940.
- Series 65 or 66 Securities Licenses.
- Experience in Investment Adviser compliance and supervision.
- Ability to work independently while maintaining a proactive approach.
- Detail-oriented with strong decision-making and analytical skills.
