p>Skills and Qualifications: • FINRA Series 7 & 24 or 6 & 26 Required • College degree or evidence of advanced industry education preferred (e.g., professional designations such as the ChFC, LUTCF, CFP, etc.) • Minimum 1 years of advertising compliance experience or 3 years relevant work experience • Minimum 5+ years of financial industry experience (insurance, broker-dealer and/or registered investment adviser) • Ability to think strategically about the impacts of advertising regulations and issues across the organization • Intermediate knowledge of FINRA Rules 2210, 2211, 2212, 2213, 2214, SEC Rules 206(4)-1, 230.482, NAIC Model Regulations 570, 582 & 245 • Ability to focus on what matters most and drive toward a common goal while keeping materials compliant • Ability to negotiate and identify solutions to problems • Ability to prioritize and execute on a high-volume of work • Strong Analytical skills.
The Legal, Compliance, Regulatory and Government Affairs department is a diverse team comprised of attorneys and other professionals providing high quality advisory and transactional support with integrity and objectivity across all parts of the organization.