FINRA Series 7 and 24 strongly preferred; candidates without licenses must obtain them within six months
Series 51 is a plus
Prior advertising review experience recommended
Understanding of FINRA advertising standards as they apply to the broker-dealer advertising
Extensive knowledge of investment products including mutual funds, variable products, etc.
Advanced understanding of the regulatory environment
Knowledge and proficiency with AI tools
Minimum 3-5 years of related financial services, compliance or management experience
Excellent organizational skills and communication skills
Strong ethical compass
Relationship building skills
Strong project management skills

Benefits

health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage
adoption/surrogacy and wellness benefits
employee/family assistance plans
various retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions)
financial education and counseling resources
generous paid time off program, including up to 11 paid holidays, 3 personal days, 150 hours of vacation, and 40 hours of sick time

Applicant Tracking System Keywords

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

Hard Skills & Tools

advertising compliance reviewsregulatory filingsadvertising review experienceunderstanding of FINRA advertising standardsknowledge of investment productsregulatory environmentproficiency with AI toolsproject management

Soft Skills

organizational skillscommunication skillsethical compassrelationship building skills

Certifications

FINRA Series 7FINRA Series 24Series 51