Senior Advisor Communications & OBA Principal

Job Overview

Positions open to principals only.

The Senior Advisor Communications & OBA Principal will review and approve marketing materials and other public communications, and review Outside Business Activity (OBA) and private securities transaction requests from Financial Advisors and home office employees. The principal serves as a Subject Matter Expert (SME) to educate team members and employees regarding communications with the public and outside business activities.

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or guidance on changes that can lead to an approval.
• Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations.
• Consult with advisors on their marketing initiatives, outside business activities, and possible private securities transactions.
• Research and address instances where the firm’s policies are not being followed.
• Assist with research and response to regulatory inquiries including branch exams.
• Contribute to department initiatives such as policy updates and training.
• Other tasks and projects as assigned.

• Bachelor’s Degree preferred.
• 3+ years of prior financial services and advertising/marketing compliance review experience.
• Prior experience in a client‑facing role, comfortable on the phone and able to explain complex issues.
• Knowledge of FINRA, SEC, and State rules and regulations.
• Licensing Requirement:
  Series 7, 24.

• Ability to work in a fast‑paced, high‑volume environment and be flexible with work schedule.
• Customer focus, collaboration, time management and organization; excellent oral and written communication skills.
• Ability to multi‑task, strong attention to detail, excellent problem‑solving and follow‑up skills.
• Working knowledge of Excel, Word, and PowerPoint.
• Excellent customer service skills and ability to communicate effectively with individuals at various levels.

• Licensing: 66 (or 63 and 65).

$74,057.00 – $

All qualified applicants will receive equal consideration for employment. EOE.