Dealer Filings & Compliance Coordinator

The Dealer Filing Coordinator manages dealer filing submissions across broker-dealer firms, ensuring compliance with SEC and FINRA regulations. This role supports cross-functional teams, maintains accurate records, and ensures all sales and marketing materials are properly approved and distributed.

• Coordinate dealer filing submissions and track timelines, approvals, and firm-specific requirements.
• Serve as primary contact for internal teams and broker-dealer inquiries.
• Ensure sales materials receive required firm approvals prior to distribution.
• Partner with Marketing, Sales, Compliance, National Accounts, and firm stakeholders to prioritize submissions and manage change requests.
• Ensure accuracy of dealer filings for content on firm-specific microsites.
• Maintain knowledge of SEC and FINRA rules, including Prior to Use, With Use, Rely, Exempt, internal use, and non-sales classifications.
• Support Date of First Use (DOFU) tracking and approval letters (Clean/Nevertheless).
• Maintain records in Workfront, Confluence, Microsoft Teams, Seismic, 4U Platform, File Maker Pro, and Excel.
• Apply content restrictions to ensure proper distribution and prevent unintended use.
• Interpret literature codes for business segment, versioning, and metadata.
• Stay current on submission limits, restrictions, and disclaimers for firms including Edward Jones, Morgan Stanley, Merrill Lynch, Northwestern Mutual, Wells Fargo, and UBS.
• Compile, analyze, and distribute recurring and ad hoc dealer filing reports.
• Ensure accuracy and completeness of all reporting outputs.
• Support Non-Resident Client (NRC) process for offshore and non-record-kept materials.

• Knowledge of broker-dealer submission processes and SEC/FINRA regulations.
• Strong analytical, organizational, and reporting skills.
• Excellent communication and stakeholder management.
• Experience with enterprise content management tools.
• Familiarity with Wealth Management and Institutional Retirement segments.
• Alignment with organizational values and ability to work in regulated, cross-functional environments.