In this role, the IA 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. The IA 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 revisions
- 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 compliance issues.
- 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 advisory services.
- 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, changing environment.
- Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
- 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 skills.
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
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