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Role Description

Under the supervision of the Wealth Management Supervisory Officer, Marketing and Planning Services, the Marketing Supervisory Principal 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.

Qualifications

• 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. If not licensed, must obtain within 120 days.
• 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 preferred.
• Strong written, oral and human relations skills.
• 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.
• Team player who projects a professional and personable manner at all times.
• Occasional opportunity to travel to educational conferences.
• Ability to adapt to change and exhibit sound judgment.
• Ability to maintain regular, predictable attendance.
• Must have good time-management skills and be a self-starter.

Requirements

• 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, Facebook, LinkedIn, etc.
• Serve as a resource for the Regional Directors, Regional Supervisory Principals 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.

Benefits

• Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision.
• Company 401(k) and ESOP contribution.
• Generous sick, vacation, and maternity/parental leave.
• Paid holidays.
• Professional Development Opportunities.
• Tuition Reimbursement ($15,000 lifetime cap).
• Discounted personal insurance including home, auto and recreational vehicles.
• Charitable gift-matching program.
• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.