Direct the day-to-day Advertising Compliance operations of the compliance department. Manage a team of compliance analysts, provide training, support with complex reviews, and ensure accuracy and consistency in regard to the application of firm policy and regulatory standards. Additionally, foster strong vendor relationships.

Responsibilities:

  • Establish and maintain departmental policies and procedures.
  • Review complex marketing material ensuring adherence to firm policy and regulatory standards.
  • Manage a team of compliance analysts, providing ongoing training and support.
  • Conduct ongoing oversight of team reviews, providing feedback and performance management as necessary.
  • Foster strong vendor relationships with advertising related vendors supporting firm tools.
  • Develop and provide training to WFG and TFA Financial Professionals.
  • Monitor for and assist in analyzing the impact of regulatory changes related to Advertising Compliance.
  • Handle matters of escalation, supporting and developing team members in the process.

Qualifications:

  • Bachelor’s degree in business, marketing political science, pre-law, paralegal or other relevant area.
  • A minimum of 5 years relevant experience, specifically with 2 years of experience in both the securities industry and Advertising Compliance.
  • FINRA Series 7/24
  • At least 1-year of managerial experience.
  • Excellent written and verbal communication skills.
  • Advanced analytical skills, interpretive, organizational and negotiation skills.

Preferred Qualifications:

  • FINRA Series 65/66

Working Conditions

Normal office environment utilizing Microsoft office products.

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to applicable pay transparency and compensation posting laws. It is estimated based on what a successful candidate might be paid in certain Company locations.** 

Compensation:

The salary for this position generally ranges between $95,000-$110,000. This range is an estimate, based on potential employee qualifications, operational needs and other considerations permitted by law. The range may vary above and below the stated amounts, as permitted by Colorado Equal Pay Transparency Rule 4.1.2.

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion.