Are you curious about what compliance does and how we play a crucial role in supporting company strategy? Would you like to challenge the worn-out story about the stodgy, non-creative compliance person? If so, we're looking for you to join the Marketing Materials Compliance (MMC) team! On our team you'll have the chance to creatively flex your analytical, investigative, decision-making, and consulting skills in a variety of ways. Our work is constantly evolving, and we want team members that will help us envision the future of compliance and pursue it with enthusiasm.
What will you do in MMC?
You'll move between diverse tasks during day to day work. You'll be dynamic in your collaboration across our division, department, and the company. You will work on anything from reviewing an advisor's social media post to consulting on our planning experience to reimagining divisional work processes. At the core of this role you'll add value by helping our business partners integrate marketing materials compliance into what they do. Don't worry, we're ready and able to teach you about advertising compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.
This position is based out of our Milwaukee, WI campus. Remote opportunities are not available.
What makes you a great fit for our team?
Knowledge, skills & abilities:
*This role requires the FINRA Series 7 and 24 registrations because they are a key element of your technical foundation. We believe that having FINRA registrations is valuable because the study/exam process requires learning about a broad range of topics within the securities industry.
**We are willing to hire at a lower Sr. Specialist (P2) level for those who do not hold the registrations and years of experience. For a Sr. Specialist role you'll have a bachelor's degree with at least 2-3 years of professional work experience.
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 24 - FINRA, Series 7 - FINRA, SIE - FINRAGrow your career with a best-in-class company that puts our client's interests at the center of all we do. Get started now!
We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
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