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Stifel: Advertising Compliance Analyst

Company: Stifel
Location: Saint Louis
Posted on: November 23, 2020

Job Description:

SUMMARY The Advertising Compliance Analyst reviews, edits, advises, verifies final copy, and Series 24 Principal approves (or rejects) communications intended for public distribution or viewing. ESSENTIAL DUTIES AND RESPONSIBILITIES * Review any branch or department communications intended to be distributed to 10 or more members of the public consistent with FINRA and SEC regulations, Firm policies and procedures, and company image. * Mark and communicate required changes to the materials or offer possible alternative materials, when available, if submitted materials are not approvable. * Answer questions from Financial Advisors, Branch Managers, and others pertaining to the submitted materials and required changes, as needed. * Verify that changes indicated have been made upon resubmit or remark changes still to be made. * Approve or reject materials in the form of an e-mail to the Financial Advisor, Branch Manager, and any other designated individual in the branch. * Ensure that any materials requiring filing with FINRA are submitted for filing in a timely manner. * Help maintain communications with the public files and logs as needed to ensure accurate documentation and availability of information * Actively pursues gaining additional knowledge and licenses needed to fully respond to material submissions. QUALIFICATIONS * High School Diploma required. * 1-3 years' industry or finance experience required * Series 7, 63, and 24 or ability to obtain within 9 months required. * Ability to receive and understand industry regulations, especially as they pertain to communication with the public. * A comprehensive understanding of FINRA regulations under 2210, Stifel policies and procedures, and company image requirements * Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and entertain via written, oral, and visual media. ABOUT STIFEL Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services. At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off. Stifel is an Equal Opportunity Employer.

Keywords: Stifel, St. Louis , Stifel: Advertising Compliance Analyst, Professions , Saint Louis, Missouri

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