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Compliance Specialist

Compliance Specialist

MAI Wealth Management, Inc.Independence, OH, US
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Job Description

Job Description

GENERAL JOB DESCRIPTION

We’re looking for a Compliance Specialist - Client & Advisor Material Review to join our ranks. Do you have a keen eye for detail and an interest in staying up to date on the ever-changing financial services industry? Do you thrive in a fast-paced and dynamic team-based, collaborative environment? If so, you might be a great fit!

Our growing Compliance Department helps ensure adherence to the state and federal rules and regulations governing the securities industry. Within Compliance, you will serve as the primary reviewer and work closely with the Marketing and Product & Sales teams. You will help ensure that all marketing materials comply with the SEC marketing rule requirements.

MAJOR DUTIES AND RESPONSIBILITIES

  • Reviewing and providing feedback on advertising, including investment proposals, awards and rankings, social media posts, recordings, testimonials, website, due diligence questionnaires, investor communications and other materials from advisors and corporate product and marketing teams to help ensure compliance with state and federal regulations, as well as MAI policy.
  • Serving as a resource and consultant to our employees by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer alternatives.
  • Contributing to high-priority Compliance Department projects on an as-needed basis.
  • Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements.
  • Staying current on regulations, policies, and industry best practices in order to provide ongoing guidance to business partners.
  • Administrator and trainer of the marketing and advertising review system.
  • Maintain internal compliance materials including materials on MAI’s disclosure library.

EXPERIENCE / CREDENTIALS

  • Degree in business, finance or a related field, or comparable industry experience.
  • 5+ years of industry experience, working in compliance within a registered investment adviser with an emphasis on advertising and communication reviews.

    • COMPETENCIES

  • Ability to multi-task, prioritize and meet deadlines in a demanding environment.
  • Maintains absolute confidentiality of all client information and safeguards client and firm data; maintains high ethical standard in all practices
  • Professional and positive demeanor, superb work ethic, high level of personal ethics and integrity
  • Motivated to learn and be the subject matter expert in ad review.
  • Creative problem solver.
  • Ability to remain current date on evolving industry regulations and MAI policies.
  • Strong interpersonal, verbal, and written communication skills.
  • Ability to communicate complex regulatory concepts in a clear and concise manner.
  • Demonstrated ability to work effectively with business partners and regulatory agencies.
  • Able to use and learn a variety of software technologies. Knowledge of and experience using systems such as Red Oak and Seismic preferred.

    • FEATURED BENEFITS :

  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • 401(k)
  • Health Savings Account
  • Paid Maternity Leave
  • Paid Parental Leave
  • Tuition Reimbursement
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    Compliance Specialist • Independence, OH, US