Senior Advisor, Communications – OBA Principal

Responsibilities

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide 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 that may include 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 – very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.
• 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 & Organization, Excellent oral and written communication skills.
• Ability to multi‑task, strong attention to detail, excellent problem‑solving and follow‑up skills are essential for this position.
• Working knowledge of Excel, Word, and PowerPoint.
• Excellent customer service skills and the ability to communicate effectively with individuals at various levels.