Advertising Compliance Senior Analyst - Advisory
Stifel
Job Summary
The Public Communications Investment Advisory Senior Specialist reviews, edits, advises, and verifies final copy in accordance with all appropriate marketing rules as codified by the Investment Advisers Act of 1940 (as amended).
Essential Duties and Responsibilities
• Reviews any investment advisory communications intended to be distributed to 15 or more members of the public consistent with SEC regulations, company policies and procedures, and company 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 resubmit or remarks changes still to be made.
• Approves or rejects materials for Stifel’s investment advisory affiliates, the financial advisor, branch manager, and any other designated individual in the branch or home office.
• Ensures that materials are also consistent with FINRA requirements and any requiring filing with FINRA are submitted for filing in a timely manner.
• Helps maintain communications through AdTrax as needed to ensure accurate documentation and availability of information.
• Actively pursues gaining additional knowledge and licenses needed to fully respond to material submissions.
• Regular interaction with the Asset Management Chief Operating Officer and Stifel’s investment advisory affiliates, flagging issues as they arise, to optimize review timeliness • Reports to the Marketing, Advertising & Graphics Public Communications Manager
Qualifications
• Strong knowledge of Marketing rules codified in the Investment Advisers Act of 1940 (as amended) – both historical rules, no action letters, and new rules made effective May 2021 and becoming effective November 2022.
• Strong understanding of SEC and FINRA rules/regulations, industry practice, and how to apply to the firm’s business model
• Ability to communicate complex regulatory concepts in a clear and concise manner
• Ability to manage multiple priorities with tight deadlines
• Ability to understand industry regulations, especially as they pertain to communication with the public
• Knowledge of media production and communication, techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media.
Education and Experience
• Minimum Required: Bachelor's Degree in related field or equivalent experience • Minimum Required: 5+ years’ experience in Compliance
Licenses and Credentials
• Minimum Required: FINRA Series 7 & 24 or ability to obtain within one year • Strongly Preferred: Investment Adviser Certified Compliance Professional or similar designation
Systems and Technology
• Proficient in Microsoft Excel, Word, PowerPoint, and Outlook • Salesforce experience a plus
About Stifel
Established in 1890, Stifel is one of the nation’s leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation’s seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry’s largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
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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