RFG Advisory is looking for an experienced, self-starter, and solutions-driven professional to join our compliance team to help oversee our growing and dynamic advisory business.
Reporting to the Chief Compliance Officer, the successful candidate will perform a critical role of reviewing and approving marketing communications for our Firm and our independent Advisors to ensure that all marketing materials are consistent with applicable regulatory rules. Our corporate office is located in Birmingham, AL but this position can be remote.
This position requires FINRA licenses 7, 24 or 9/10 as well as prior advertising review experience.
The salary range for this position is $68,000 - $74,000 DOE.
- Review a wide variety of submitted marketing materials on behalf of the firm and its Advisors and provide a timely and precise response, including reasons for requested changes and suggestions where necessary. Follow-up through final admission and approval.
- Provide guidance to the firm, its employees, and Independent Advisors on communications content across multiple delivery channels: including but not limited to website, social media and print materials.
- Apply thorough review of content to ensure adherence to compliance regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)
- Conduct email surveillance of registered representative and financial advisors to ensure compliance with both RIA and Broker Dealer written supervisory procedures and identify issues such as trade orders, trading away, complaints, outside business activities, and other concerns.
- Facilitate the training of new team members, Advisors and their staff on marketing submission policies as well as regulatory and business standards.
- File all approved marketing materials to designated cloud-based secure storage solution.
- Interact with RFG Advisory’s broker dealer PCS.
- Special projects as assigned.
- Proficient knowledge of financial services industry and applicable rules and obligations of federal and state securities laws (SEC, FINRA, etc.)
- A Series 7 and Series 24 or 9/10
- 3+ years of advertising review experience
- Ability to work collaboratively in a small-team environment as well as independently
- Excellent verbal and written communications skills
- Service-oriented with the ability to not only understand Advisor issues, but empathize with them and seek logical, equitable, and compliant solutions.
- Ability to “think outside the box” and develop strategic, creative, and nuanced solutions