Compliance Communications Associate

Benjamin F Edwards

Location: St Louis; Hybrid position

As the Compliance Communications Associate you will be a part of a team that leads the firm’s commitment to placing our client’s interests first. In this role you will provide review, approval, and support services for all communications and ensure they are within standards set by internal policies and procedures, and various regulatory agencies. By providing oversight of these risk-taking activities and applying Firm and industry best practices you will ensure all communications help drive Benjamin F. Edwards growth and ensure its legacy for future generations.

Essential Duties and Responsibilities:

• Review, analyze and approve all advertising and other communications with the public pursuant to Investment Advisor and Broker/Dealer regulatory rules and regulations.

• Partner with subject matter experts in the review, analysis and approval of all seminars, websites, website pages, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, client facing analysis, and other initiatives.

• Conduct regulatory research as assigned.

• Assist in the preparation of regulatory filings and revisions.

• Review and approve all radio and television programs.

• Assist other in Compliance areas such as Sales Practice, Surveillance, and Employee Activities as needed.

Required Qualifications:

• Four-year college degree preferably in a Finance related field; or equivalent industry related experience.

• 2+ years of experience in the financial services industry; preferably in compliance, audit, legal, or operational, credit, or market risk.

• Series 7, 24, and 65 (or 66) required; or obtained within 6 months of hire.

• Strong knowledge of FINRA and SEC Rules, and applicable state laws.

• Ability to manage and prioritize multiple tasks while meeting tight deadlines.

• Excellent interpersonal and communications skills, with the ability to interact with individuals at all levels within the Firm.

• Demonstrated ability to independently evaluate a situation, exercise judgment, and render a decision.

We offer competitive pay and a comprehensive benefits package.