FINRA Broker-Dealer Compliance Advertising Review Professional

J.W. Cole Company Profile

J.W. Cole is a Tampa-based Investment Adviser and Broker-Dealer, providing robust advisory service, operational, product, compliance, and practice support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business, as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.

J.W. Cole Financial, Inc. is seeking a highly motivated, creative, solutions-oriented, and proactive professional to join our Compliance team on-site in Tampa!

This position will be responsible for the review of advertising/marketing materials distributed to clients/prospects and the public intended to solicit new business or educate on matters related to financial markets or planning strategies. This role is also responsible for additional compliance reporting, supervision and advisory practice services.

The ideal candidate will have a strong background in the financial services industry and significant experience in advertising and marketing review, with a demonstrated ability to apply the FINRA advertising rules, and the SEC Marketing Rule to testimonials, endorsements and performance reports.

This candidate is also expected to provide expertise and creativity to help drive internal initiatives, while effectively consulting with our Financial Professionals as business partners. As such, the role requires an individual who can identify opportunities, develop solutions, create efficiencies, drive improvements, and achieve successful results working in a team-based environment. It is critical that the candidate be able to work in a dynamic and diverse environment, growing the firm’s successful and evolving compliance program, mitigating risk and successfully interacting with Financial Professionals to coach, educate and identify solutions.

Accordingly, we are seeking a driven candidate who enjoys overcoming challenges, while seeking continual improvement opportunities to identify creative successes that benefit multiple parties.

This position is based on-site in Tampa, FL.

Given the importance of team dynamics and our partnering culture, candidates seeking a remote position will not be considered.

• Review advertising and marketing materials within stated turn-around times ensuring compliance with industry rules and regulations and firm policies.
• Review social media posts and related social media policy compliance.
• Interact with Financial Professionals to coach, advise and identify solutions to common challenges.
• Contact Financial Professionals as business partners to professionally resolve all issues and concerns; offer reasonable changes and suggestions to achieve an amicable resolution.
• Provide oversight of financial planning agreements to ensure adherence to firm policies.
• Provide pre-review and oversight of Vendor Due Diligence Meetings and Vendor Marketing Reimbursement requests.
• Lead the Firm’s non-cash compensation program to help ensure gifts, gratuities and wholesaler reimbursement are consistent with industry regulations or firm policies.
• Work with Financial Professionals to resolve all deficiencies and provide solutions to issues.
• Maintain required books and records for all activities.
• Other duties as assigned.

• Series 7 and 24
• 3-5 years of Advertising and Marketing review experience.
• Significant experience within the financial services industry.
• Highly motivated, passionate, energetic, and driven with a willingness to spearhead projects.
• Ability to work independently, prioritize multiple tasks, meet deadlines, and collaborate across functions.
• Service-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.

Job Type: Full-time

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
  
  Health insurance
• Life insurance
• Paid time off
• Vision insurance

• High school or equivalent (Required)

• Broker/Dealer: 3 years (Required)

• Series 7 (Required)
• Series 24 (Required)

In person