Divisional Supervisor- Marketing Review Specialist (Charlotte, NC)

Lewis James Professional

Divisional Supervisor- Marketing Review Specialist

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Divisional Supervisor- Marketing Review Specialist for a direct hire opportunity with a financial services client.

Responsibilities:

  • Serve as Principal reviewer of Advisor created marketing material and retail communications for use with the public and clients.
  • Supervisory responsibility for all licensed client facing teammate social media activity.
  • Work closely with teammates to make sure that Social Media profiles and activities conducted are compliant and in line with regulatory standards.
  • Principal Review of Advisor Bio pages, electronic client correspondence, retail communications and seminars to ensure regulatory requirements are met.
  • Coordinate with Divisional Supervisors performing other essential functions within the complex/division to ensure timely issue resolution.
  • Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.
  • Provide regular updates and communication with advisors, Supervision Relationship Managers, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights.
  • Key contributor for the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues.

Qualifications:

  • Bachelor’s degree in Finance or Business preferred.
  • FINRA Series 7, 24, and 66 licenses (Series 63&65 can be used in lieu of Series 66).
  • Three or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
  • Strong written and verbal communication skills.
  • Sound investigative skills and ability to follow up and manage cases.
  • Thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
  • Strong organizational skills and the ability to multi-task are also required.

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_3749. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_3749. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V