Compliance Supervision: Advertising/Marketing Review Specialist

Job Type

Full-time

Description

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.

This is a full-time position requiring 40 hours per week. Our corporate office is located in Birmingham, AL and we currently work a hybrid schedule, 3-days in-office and 2 days remote. If in Birmingham, the position will require a hybrid schedule.

Responsibilities:

• Review 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.
• Apply thorough review of content to ensure adherence to compliance regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)
• Provide guidance to the firm, its employees, and advisors on communications content across multiple delivery channels: including but not limited to website, social media, podcasts and print materials.
• Monitor and manage social media address capture, surveillance & renewals to maintain on-platform compliance.
• Maintain tracking of websites & social media addresses for reporting on ADV Part 1.
• Facilitate periodic training of new team members, RFG Marketing department, advisors and their staff on marketing submission policies as well as regulatory and business standards.
• Act as primary contact and manager for Saifr relationship and product development.
• Manage primary relationship with RFG Advisory’s broker dealer PCS and their principal counterpart. Includes KPI reporting related to usage and volume.
• Engage the RFG CCO on issues, risks and trends.

Requirements

Qualifications:

• Proficient knowledge of the financial services industry and applicable rules and obligations of federal and state securities laws (SEC Marketing Rule, FINRA 2210, etc.).
• A Series 7 and Series 24 or 9/10 AND/OR Series 65/66 if RIA only background.
• 5+ 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.
• Familiarity with FMG Suite & Marketing Pro ad submission software is preferred.

Salary Description

90,000-100,000 DOE