Marketing Supervisory Analyst

D.A. Davidson & Co.

Location: Remote

Under the supervision of the Wealth Management Marketing Supervisory Officer, the Marketing Supervisory Analyst serves as a marketing expert within the supervisory team and a resource for various departments and the front office regarding Communications with the Public. This role is responsible for reviewing and providing guidance and principal approval of brokerage and advisory communications in compliance with FINRA, SEC and state securities and insurance laws, rules and regulations.

Experience And Skills

Qualifications/Requirements:

• Bachelor’s degree in finance, accounting or business-related field; or relevant securities industry experience.

• Applicable industry exams: FINRA SIE, Series 7, Series 9/10 or 24, and Series 66 or 63/65.

• Solid knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public, including social media.

• Prior experience reviewing and approving broker/dealer and investment advisory communications including social media communications.

• Strong written, oral and human relations skills. This role interacts with branch staff, marketing department personnel, and other supervisory personnel.

• Ability to independently, reasonably, and consistently apply Communication with the Public rules in a supportive marketing environment.

• Ability to assess overall risk and propose creative solutions based on current regulatory requirements.

• High understanding of various software and capabilities, including Word, PowerPoint, Excel, and Outlook.

• Strong organizational skills and attention to detail. Ability to work with a high-degree of accuracy while prioritizing multiple tasks.

• Team player who projects a professional and personable manner at all times. Maintain client and Firm confidentiality.

• Occasional opportunity to travel to educational conferences Ability to adapt to change and exhibit sound judgment.

• Ability to maintain regular, predictable attendance.

Duties

• Serve as a supervisory principal for the timely and accurate review and approval of traditional and electronic marketing, advertising and other business communications.

• Work with Financial Professionals, branch staff, and Marketing on constructive revisions to meet applicable regulatory standards.

• Serve as a supervisory subject matter expert for various social media communications mediums including, but not limited to, LinkedIn and Twitter.

• Participate in marketing material discussions with Legal, Compliance, Marketing, and other interested parties to enhance the consistent execution of regulations throughout all materials and communications.

• Serve as a resource for the Regional Directors, Regional Supervisory Managers and Branch Office Managers with respect to Communications with the Public.

• Assist in development of training and processes related to Communications with the Public as identified through various supervisory reviews or regulatory updates.

• Stay current on industry and regulatory updates and trends that affect how materials may be presented.

• Participate in special projects and initiatives, as needed, including the review or implementation of surveillance tools for review of email and social media.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.