SENIOR IA MARKETING REVIEW ANALYST - ADVISORY SERVICES
Company: Stifel Financial
Location: Saint Louis
Posted on: March 29, 2020
In this role, theIA Advertising& Marketing Review will be
responsible for reviewing and approving all communications required
by various rules that govern investment adviser marketing
activities, including but not limited to: marketing materials;
custom requests, factsheets; presentation books, request for
proposals; due diligence questionnaires; website content; and,
electronic communications. TheIA Advertising& Marketing Review is
primarily responsible for review of marketing and advertising
materials for Stifel's registered investment advisory entities
("Advisory Services"). This position reports directly to the
Compliance Director, Advisory Services. The position requires prior
investment adviser advertising/marketing review experience.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Reviews and approves advertising and other communications with
the public pursuant to various rules that govern advertising and
marketing activities, including rule 206(4)-1 under the Investment
Advisers Act of 1940 the Securities Exchange Act of 1934, other
relevant regulations, and internal policy requirements.
- Reviews, edits, and approves"advertisement" which may include
any notice, circular, letter or other written communication
addressed to more than one person, or any notice or other
announcement in any publication or by radio or television
- Communicates effectively regarding the review, and/or approval
of seminars, websites, website pages, promotional materials, press
releases, educational materials, webinars, articles, and social
media, client communications, client facing analysis, RFP's,
newsletter, and initiatives
- Assists with preparation of regulatory filings and
- Coordinate with the Advertising& Graphics department and
various other internal departments, personnel and business units in
order to timely review and approve all communications.
- Interact with Compliance and Legal to help resolve potential
- Conduct periodic training as necessary.
- Maintain the records of all approved materials as per
recordkeeping rules and internal policies and procedures
- Ability to lead, organize, and administer marketing and
communications review processes.
- Prepare and update regulatory documents, including Form ADV and
others as needed
- Bachelor's Degree required.
- This position requires 5-7 years of investment adviser
advertising/marketing review experience
- Series 7, 63, 24, 52, 53 required.
- Strong knowledge and understanding of the Advisers Act, the
Securities Act and the Securities Exchange Act, ERISA, and other
relevant regulations and laws that apply to the Firm and its
- Ability to quickly acquire knowledge of other regulations and
rules that apply to the Firm's overall business.
- Candidates will be expected to possess the following
professional and personal attributes:
- Familiarity with the knowledge of the securities industry, from
a product, compliance and administrative perspective including
knowledge of investment advisory requirements and regulations.
- Strong communication skills and presence with the ability to
speak with impact, influence outcomes; simplify complex topics into
actionable recommendations for decision-making.
- Able to perform innovative thinking to solve complex problems
with no established precedence while balancing risk, speed,
accuracy and embracing pace over perfection.
- Self-starter with the ability to meet or exceed deadlines,
prioritize, multi-task, and maintain flexibility in fast-paced,
- Strong problem-solving skills and the ability to confront
conflict and difficult issues in a professional, assertive and
- Ability to collaborate with individuals across business and/or
functional lines on required changes.
- Should have strong interpersonal, leadership, and relationship
skills. Must have strong written and verbal communication
Keywords: Stifel Financial, St. Louis , SENIOR IA MARKETING REVIEW ANALYST - ADVISORY SERVICES, Advertising , Saint Louis, Missouri
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