Advisor, Supervision- Advertising Review

** Essential Duties and Responsibilities*
* + Serve as a trusted supervision partner to financial advisors  on advertising, marketing, social media, and communications-related matters.

+ Review complex or escalated advertising and marketing materials using applicable regulations, firm policies and procedures, supporting information, and sound supervisory judgment.

+ Research regulatory and supervisory questions and translate requirements into practical guidance for business partners.

+ Evaluate matters that do not fit neatly within an existing rule, policy, or precedent and develop well-supported recommendations for resolution.

+ Partner across Supervision, Compliance, Legal, Marketing, business units, and other internal teams to resolve complex or sensitive matters.

+ Oversee and support supervision programs for assigned business areas, helping ensure supervisory processes and controls are appropriately aligned with business activities and risk.

+ Identify emerging trends, recurring issues, and opportunities to strengthen supervisory practices, controls, policies, procedures, and training.

+ Recommend and help implement changes to supervision programs, policies, procedures, and controls as business practices, technology, and regulatory expectations evolve.

+ Provide escalated guidance to supervision associates and business partners and coach or mentor less experienced team members.

+ Assess potential regulatory, supervisory, or firm risk and appropriately escalate matters involving potential rule violations or liability.

+ Support quality assurance and other controls designed to identify and address potential supervision or compliance concerns.

+ Prepare and deliver written recommendations, presentations, training, and other communications to business partners and senior management.

+ Support regulatory inquiries or examinations involving assigned areas, including coordinating information and documentation when appropriate.

+ Maintain current knowledge of applicable SEC, FINRA, state regulatory requirements, firm policies, industry developments, and emerging communication channels and technologies.

+ Take ownership of complex matters from initial question through documented resolution and perform other responsibilities as assigned.

** Skill In*
* + Critical thinking and sound supervisory judgment, particularly when regulations, policies, business needs, and facts do not produce an immediately obvious answer.

+ Interpreting advertising and communications requirements and applying them to new, complex, or unusual circumstances.

+ Identifying risk without losing sight of practical business considerations, workflow, and the advisor and client experience.

+ Researching complex regulatory and supervisory issues and developing clear, defensible recommendations.

+ Communicating complex requirements in a way that is understandable, practical, and actionable.

+ Managing competing priorities and independently advancing multiple projects, reviews, and escalated matters.

+ Building productive relationships across Supervision, Compliance, Legal, Marketing, Home Office departments, and other business areas.

+ Identifying trends and translating individual issues into broader improvements to controls, processes, policies, or training.

+ Providing high-quality service without compromising supervisory standards or regulatory requirements.

** Ability To*
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** Interpret the gray:
** Apply regulatory requirements, firm policies, precedent, and sound judgment when a matter does not have a simple yes-or-no answer.

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** Explain the why:
** Communicate supervisory concerns, decisions, required changes, and supporting rationale clearly enough that business partners understand both the answer and the reasoning behind it.

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** Find the path forward:
** Identify compliant and practical alternatives when the original approach does not work rather than stopping at "no."

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** See beyond the submission:
** Recognize when an individual review or question points to a broader risk, control gap, training need, or opportunity to improve a supervisory program.

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** Be the expert in the room:
** Develop and maintain strong knowledge of advertising and communications regulation, financial products, industry practices, emerging technologies, and firm requirements.

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** Partner without compromising:
** Build trusted relationships with business partners and work through differing perspectives while maintaining appropriate supervisory standards.

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** Make the call:
** Gather the relevant…