Supervision and Communications Principal

How will this role impact First Command?

The Supervision and Communications Principal is responsible for monitoring and reviewing marketing materials, social media activity, digital communications, and online conduct. The Supervision and Communications Principal is responsible for ensuring that activity conforms to the First Command brand and adheres to the firm’s guidelines, FINRA, SEC, and state and federally mandated rules and regulations.

What will you do in this role?

• Conducts supervisory and compliance duties including regularly monitoring and reviewing First Command digital communications and branded social media sites through ongoing supervision of registered representatives’ social media presence to support reputation and compliant management processes.
• Collaborates with the Associate Director, Marketing Principal, and members of the Legal and Compliance teams to carry-out and continuously improve upon the processes and procedures related to marketing, social media and digital communications.
• Diplomatically communicates concerns, proactively assists in correcting materials and communications to make them compliant within regulatory standards and internal policies.
• Utilizes and maintains the Social Media, Digital Communications, and Website Surveillance Solution including:
  • Reviews and approves social media profiles for First Command business purposes.
  • Responsible for decommissioning of participants when the business need no longer exists. 
  • Works with personnel to identify any exception and come up with the right course of action to remediate/resolve.
• Conducts expeditious and effective review of internal and external content for brand, reputation, and regulatory compliance.
• Provides principal review and approval of one-time-use items submitted by Advisors and/or their staff members.
• Principal supervisory review of electronic communications to ensure compliance with all applicable regulations, as well as company policies and procedures. Provide support for internal and external audit requests as needed.
• Provide field force support through training and education on topics such as: regulatory, firm policies and procedures, and licensing issues.
• Daily monitoring of Salesforce cases and respond as needed.
• Identify and recommend ideas for process and procedure improvements.
• Be a thought leader through the ability to build and maintain productive working relationships with personnel across the organization.
• Encourages an atmosphere of service, trust and teamwork between the Supervision Team, field force and with internal business partners using effective communication skills.
• Assists with tasks and projects and other duties as required.

What skills & qualifications do you need?

Education

• Bachelor’s Degree required in a related field (industry experience may be considered)

Work Experience

• 3-5 years of experience in the following areas:
  • FINRA and SEC compliance
  • Supervision of digital communications, social media, marketing, and advertising
  • Supervision of registered personnel. 
• Experience as a Financial Advisor preferred.

Certifications

• Must possess FINRA Series 7, 24 and 66 licenses or be able to obtain within 90 days post-hire.
• Must have appropriate Life and Health Agent license or be able to obtain within 90 days post-hire.

Required Knowledge, Skills and Abilities

• Ability to be an initiative-taker and work independently.
• Strong decision-making ability and attention to detail.
• Outstanding time management and organizational skills. Ability to operate in a fast-paced environment and must have the ability to make decisions based on sound business judgment with information at hand while quickly adapting to new circumstances presented.
• Conflict resolution skills.
• Must have detailed knowledge of the Written Supervisory Procedures (WSP) and the Compliance Manual (CM).
• Must exhibit the ability to execute at a high level with excellent quality and contribute to a high-performance team.
• Must exhibit strong analytical written and verbal communication skills for resolving problems.
• Must encourage an atmosphere of service, trust, openness, communication, and an attitude of working together to achieve mutual objectives.
• Intellectually curious and will model a culture of continuous learning, mentoring and coaching while encouraging an agile way of working.