Compliance Analyst - RIA Advertising Review

Company: Stratos Wealth Partners
Location: Beachwood
Posted on: August 7, 2022

Job Description:

Description:
We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to focus primarily on RIA Advertising review and approval. We are a growing department that offers room to develop and advance skills. Essential Duties and Responsibilities:

• Primary Function: Review and approval of RIA advertising
• With team and under the guidance of management, review and approve RIA advertising submitted by advisors
• Implementing technology tool to provide administrative support and document retention
• Appropriately collaborate with team members to assist with effective and efficient advertising reviews and approvals
• Provide adequate guidance and communication to advisors regarding advertising reviews and requested changes. Be available to advisors to provide education.
• Continually work to improve the advertising review and approval program by offering suggestions for improvement and collaborating with team members and management to implement solutions Additional Responsibilities:
  • Facilitate advertising review through LPL
  • Complete assigned Branch Exams with all appropriate write-ups and follow ups
  • Respond to incoming Compliance inquiries
  • Perform additional projects and tasks in support of the Stratos Compliance program as assigned Requirements:
    Skills / Key Competencies Required:
    • Bachelor's degree
    • Series 65 and/or prior RIA advertising review experience
    • FINRA SIE, Series 7, and 24 a plus
    • Attention to Detail / Data Organization
    • Proficient with technology
    • Strong communication skills, written and verbal
    • Ability to work in a fast-paced, changing environment
    • Collaborative mentality; strong team orientation PM22 PI187241262

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