100% Remote
12+ month contract/contract to hire
The Marketing Regulatory Review Analyst will review and approve marketing materials and other public communications from Financial Advisors and home office employees.
Responsibilities:
• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.
• Consult with advisors on their marketing initiatives.
• Research and address instances where the firms policies are not being followed.
• Assist with research and response to regulatory inquiries including branch exams.
• Contribute to department initiatives that may include policy updates and training.
• Other tasks and projects as assigned.
What are we looking for?
Were looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
• 3+ years of prior financial services and advertising/marketing compliance review experience
• Prior experience in a client-facing role - very comfortable on the phone and be able to explain the why behind, complex issues, ask open ended questions.
• Knowledge of FINRA, SEC, and State rules and regulations
• Licensing Requirement: Series 7, 24
Core Competencies:
• Ability to work in a fast paced/high volume environment and be flexible with work schedule.
• Customer Focus, Collaboration, Time Management & Organization, Excellent oral and written communication skills.
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position.
• Working knowledge of Excel, Word, and PowerPoint.
• Excellent customer service skills and the ability to communicate effectively with individuals at various levels.
Preferences:
• Licensing: 66 (or 63 and 65)
• Bachelors Degree Preferred
Estimated Min Rate: $29.40
Estimated Max Rate: $42.00
What’s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh’s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh’s extensive talent community that will provide you with access to Yoh’s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
- Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
- Health Savings Account (HSA) (for employees working 20+ hours per week)
- Life & Disability Insurance (for employees working 20+ hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
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