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Compliance Analyst - RIA Advertising Review

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

Job 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

Keywords: Stratos Wealth Partners, Cleveland , Compliance Analyst - RIA Advertising Review, Advertising , Beachwood, Ohio

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