D.A. Davidson Companies

Marketing Supervisor

D.A. Davidson Companies

full-time

Posted on:

Location Type: Remote

Location: United States

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Salary

💰 $58,000 - $78,000 per year

Job Level

Lead

About the role

  • Serve as a supervisory principal for the timely and accurate review and approval of traditional and electronic marketing, advertising and other business communications.
  • Work with Financial Professionals, branch staff, and Marketing on constructive revisions to meet applicable regulatory standards.
  • Serve as a supervisory subject matter expert for various social media communications mediums including, but not limited to, Facebook, LinkedIn, etc.
  • Serve as a resource for the Regional Directors, Regional Supervisory Principals and Branch Office Managers with respect to Communications with the Public.
  • Assist in development of training and processes related to Communications with the Public as identified through various supervisory reviews or regulatory updates.
  • Stay current on industry and regulatory updates and trends that affect how materials may be presented.

Requirements

  • Bachelor’s degree in finance, accounting or business-related field; or relevant securities industry experience.
  • Applicable industry exams: FINRA SIE, Series 7, Series 9/10 or 24, and Series 66 or 63/65.  If not licensed, must obtain within 120 days.
  • Solid knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public, including social media.
  • Prior experience reviewing and approving broker/dealer and investment advisory communications preferred.
  • Strong written, oral and human relations skills.  This role interacts with branch staff, marketing department personnel, and other supervisory personnel.
  • Ability to independently, reasonably, and consistently apply Communication with the Public rules in a supportive marketing environment.
  • Ability to assess overall risk and propose creative solutions based on current regulatory requirements.
  • High understanding of various software and capabilities, including Word, PowerPoint, Excel, and Outlook.
  • Strong organizational skills and attention to detail. Ability to work with a high-degree of accuracy while prioritizing multiple tasks.
  • Team player who projects a professional and personable manner at all times.  Maintain client and Firm confidentiality.
  • Occasional opportunity to travel to educational conferences
  • Ability to adapt to change and exhibit sound judgment.
  • Ability to maintain regular, predictable attendance.
  • Must have good time-management skills and be a self-starter.
Benefits
  • Medical, Dental and Vision
  • Company 401(k)and ESOP contribution
  • Generous sick, vacation, and maternity/parental leave
  • Paid holidays
  • Professional Development Opportunities
  • Tuition Reimbursement ($15,000 lifetime cap)
  • Discounted personal insurance including home, auto and recreational vehicles
  • Charitable gift-matching program
  • Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
FINRA SIESeries 7Series 9Series 10Series 24Series 66Series 63advertising reviewinvestment advisory communicationsregulatory compliance
Soft Skills
strong written skillsstrong oral skillshuman relations skillsorganizational skillsattention to detailtime-management skillsadaptabilitysound judgmentteam playerprofessional demeanor
Certifications
Bachelor’s degree in financeBachelor’s degree in accountingBachelor’s degree in businessFINRA licensesrelevant securities industry experience