Analyst II, Communications Review

Employer
TD Ameritrade
Location
Columbia, MD
Posted
Jul 17, 2017
Closes
Aug 07, 2017
Hours
Full Time
Role: Principal review and approval of public communications for compliance with FINRA (and other regulatory bodies) rules and regulations and company standards This position may also be responsible for additional projects and duties as periodically assigned Responsibilities: Review and provide Principal (Series 24, 4 or 53) approval for public communications submitted to Compliance by various departments of TD Ameritrade, Inc. Review and approve for use materials submitted by third-parties (affiliated or not) that impact TD Ameritrade, Inc Coordinate review process with various internal business partners. Includes negotiating on content edits and educating them on applicable rules, regulations and company policies Coordinate filing of material in accordance with FINRA and SEC rules and regulations and Company policies and standards. Consult with FINRA Analyst when necessary File public communications concerning registered investment companies, options, or investment analysis tools Review and discuss Regulatory Notices impacting public communications rules Effectively track approved communications using applicable methods and tools per industry/company record retention requirements Strive for consistency of reviews with the other Communications Review analysts Requirements: 2 Year College Degree in Business/Finance 4 Year College Degree preferred Exceptional analytical, judgment and decision making skills Strong communication and negotiation skills Excellent attention to detail and multi-tasking skills Securities industry experience of at least 3 years Previous advertising review experience of at least 2 years at a financial firm or FINRA preferred Series 7, 63 and 24 licenses required for general review and approval of firm communications Series 4 desired for review/approval of options materials Series 53 desired for review/approval of Municipal Securities materials Military education or experience may be considered in lieu of civilian requirements