Compliance Officer - Advertising Review

Edelman Financial Services
Fairfax, VA
Apr 20, 2017
Apr 25, 2017
Accountant, IT
Full Time
Edelman Financial Services,one of the nation's largest and most well-known financial planning firms, is seeking aCompliance Officer - Advertising Review to join our Compliance team in our Fairfax, VA location. As part of the Regulatory Compliance Team, the Compliance Officer - Advertising provides compliance advertising review services and support to Edelman Financial Services and its affiliated broker/dealer. Responsibilities:Reviews and approves advertising and other communications with the public pursuant to Investment Adviser and Broker/Dealer regulatory rules and regulationsReviews and approves radio and television programsCommunicates 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 initiativesConducts regulatory research as assignedAssists with preparation of regulatory filings and revisionsRequirements:Bachelor's degree (preferably in a finance related field) or equivalent industry related experience requiredFINRA Series 7, 24, and 65 (or 66) required, or must be obtained within 6 months from start of employmentMinimum of 2-5 years financial services industry experience specifically in a broker/dealer or registered investment advisorPrior advertising review experience strongly preferredAdvanced knowledge of FINRA Rules, SEC Rules, and applicable state laws with emphasis on advertising rulesStrong organizational skillsSolid written and oral communication skillsAbility to multi-task and adapt to shifting prioritiesProficient in Microsoft Word, Excel, and OutlookProficient in internet research navigationExcellent interpersonal skills, as necessary to work effectively with staff at all levelsMust be comfortable independently evaluating a situation, exercising judgment, and independently making a decisionThe individual identifies and resolves problems in a timely manner and gathers and analyzes information skillfullyPosition requires high level of responsibility regarding confidential information; must maintain confidentiality at all timesFor more information: EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Services has an employment at-will policy.If you are interested in an exciting career with Edelman Financial Services, apply to this job posting at:

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