广告审核经理
Manager, Advertising Review
作为广告审核经理，你将在维护所有广告和营销材料的诚信和监管合规性方面发挥关键作用。你将负责监督和实施广告合规政策，审核并批准广告材料，并与跨职能团队合作，确保遵守行业法规。
这需要一位自我驱动、具备强大批判性思维和沟通能力的个人，能够积极主动、适应变化，并在快节奏、动态的环境中茁壮成长。此外，该职位需要对行业及相关的金融产品和服务有深入的理解。这是一个远程职位。
你将负责：
- 按照FINRA、SEC及其他相关法规的要求，管理广告合规政策和流程。
- 审核并批准广告和营销材料，以确保符合行业指南和内部政策。
- 为内部团队（包括市场、销售和法律部门）提供广告合规要求的指导和培训。
- 跟踪金融行业法规的变化，并根据需要更新合规政策。
- 在必要时与外部法律顾问和监管机构合作，解决合规问题和咨询。
- 监控和跟踪广告活动，详细记录和保存合规工作文档。
- 定期进行审计和审查，识别并纠正潜在的合规违规行为。
- 管理和领导合规专业人员团队，提供指导、培训和绩效评估。
- 与公司法律和风险管理部门协作，确保合规标准的一致性。
- 准备并提交必要的报告和合规文件给监管机构。
你需要具备：
- 本科学历，来自四年制大学或学院，最好是金融、经济、工商管理或相关领域。
- 在金融服务行业从事广告合规工作至少5年，最好是在经纪交易商公司。
- 必须持有Series 7和Series 24资格。
- 必须持有Series 63资格（或在入职后3个月内取得）。
- 对FINRA和SEC法规以及广告合规领域的行业最佳实践有深入了解。
- 非常注重细节，具备分析能力，并能解读复杂内容。
查看英文原文
As a manager of Advertising Review, you will play a crucial role in upholding the integrity and regulatory compliance of all advertising and marketing materials. You will be responsible for overseeing and implementing advertising compliance policies, reviewing, and approving advertising materials, and collaborating with cross-functional teams to ensure adherence to industry regulations.
This will require a self-motivated individual with strong critical-thinking and communication skills, who is proactive, adaptable to change and thrives in a fast paced and dynamic environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services. This is a Remote position.
What You'll Do:
- Manage advertising compliance policies and procedures in alignment with FINRA, SEC, and other relevant regulations.
- Review and approve advertising and marketing materials to ensure compliance with industry guidelines and internal policies.
- Provide guidance and training to internal teams, including marketing, sales, and legal departments, on advertising compliance requirements.
- Stay current with changes in financial industry regulations and update compliance policies as needed.
- Collaborate with external legal counsel and regulatory agencies as necessary to address compliance issues and inquiries.
- Monitor and track advertising campaigns, keeping detailed records and documentation of compliance efforts.
- Conduct periodic audits and reviews to identify and rectify potential compliance violations.
- Manage and lead a team of compliance professionals, providing guidance, training, and performance evaluations.
- Collaborate with the company's legal and risk management departments to ensure consistency in compliance standards
- Prepare and submit necessary reports and compliance documentation to regulatory agencies.
What You Need to Have:
- Bachelor’s degree from a four-year college or university, preferably in Finance, Economics, Business Administration, or related field
- A minimum of 5 years of experience in advertising compliance within the financial services industry, preferably at a broker/dealer firm.
- Series 7 and 24 required.
- Series 63 is required (or get within 3 months of start date)
- Strong knowledge of FINRA and SEC regulations, as well as industry best practices in advertising compliance.
- Exceptional attention to detail, analytical skills, and the ability to interpret complex regulatory requirements.
- Strong communication skills to work with advisors, vendors, and internal teams and the ability to collaborate across departments
- Leadership and team management experience.
- Proficiency in relevant software and compliance tools.
- Proven ability to work independently, meet deadlines, and adapt to a fast-paced and changing regulatory environment.
Compensation:
The base salary range for this role is $91,000-120,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.
Originally posted on Himalayas