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Compliance Coordinator
Collabera | Phoenix, AZ | 9/13/2014

Position: Compliance Coordinator - Advertising
Duration: 2 months (Temp to Hire)
Location: 2800 N Central Ave, Ste 2100, Phoenix, AZ - 85004

Position Summary

This position will be involved in reviewing retail communications and other external and internal communications to ensure compliance with applicable SEC and FINRA rules and internal policies.  Additionally, the Analyst will manage a specific regional territory developing and maintaining relationships with the financial advisors in the region.

The Analyst will provide ongoing assistance with compliance projects including, but not limited to: participation in regulatory examinations, reviewing professional designations, conducting due diligence on proposed third party marketing vendors, managing the pre-approved advertising library for the firm, reviewing new product sales literature, and report and document unapproved advertising.

Ideal experience
• Knowledge and ability to apply SEC and FINRA advertising regulations applicable to communications with the public.

• Serve as a subject matter expert to financial advisors on matters pertaining to advertising compliance.  Assist internal business partners to understand and comply with advertising laws, rules and regulations.    
• Interact with management and other supervisory/compliance personnel on escalated issues to ensure marketing materials are compliant with advertising requirements and industry best practices.
• Maintain effective working relationships with areas across the organization as well as with regulators. Submit filings to FINRA as required.  
• Maintain quality customer relations with emphasis on service, quality and support of business objectives.
• Work independently to ensure department deadlines are met and service levels are maintained.


Position requirements
• Minimum of two years in a principal capacity with a focus in compliance
• Basic understanding of FINRA and SEC rules regarding communications with the public in order to effectively review items concerning securities and investment advisory services.  
• Understanding of financial products (variable products, mutual funds, alternative investments, etc.) and mainstream investment strategies used by financial advisors.  
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
• Ability to read and interpret documents including firm policy and procedures and FINRA and SEC regulatory documents.  
• Series 7 and 24 required.  Qualified candidates may have the ability to obtain Series 24 within 90 days.
• Bachelor’s degree (B.A. or B.S) or equivalent combined work and education experience.
• Proficient with current MS Windows and Office (preferred) and ability to quickly learn other programs such as Adobe Professional and the firm’s internal systems

Required Qualifications:

• Must have series 7
• 24 desired but if not must obtain within 90 days of assignment start
• BA required
• Minimum of two years in a principal capacity with a focus in compliance
• Basic understanding of FINRA and SEC rules regarding communications with the public in order to effectively review items concerning securities and investment advisory services.

How to Apply:-

If you are interested, please click on Apply button to submit your resume or email your resume at [Click Here to Email Your Resume]

Veena Kumar

Ph: 704-893-3123


Employment Type: Full-Time
Base Pay: N/A
Other Pay: N/A
Industry: Securities
Education: Not Specified
Experience: Not Specified
Manages Others: Not Specified
Relocation: Not Specified
Required Travel: Not Specified
Job ID: 2623_Advt Compliance_AZ

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At Collabera, you get a chance to do great work with some of the brightest people, without the frustration of being a nameless face in a sea of cubicles. We promote a culture of transparency and openness that embraces enthusiasm and passion. If you have what it takes, we want you to follow your passion.

Whether that means working on cutting edge technology, understanding and overcoming business challenges, becoming a cross-discipline general practitioner or something else entirely. Passion and interesting work brings people to Collabera. Teamwork, growth and exposure keep people here as they build a career. Learn More...

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