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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


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


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

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