• Proactively assist financial professionals in making advertising pieces compliant with regulatory standards and internal policies. • Diplomatically communicate content concerns to financial professionals, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language. • Understand securities and insurance products as well as investment advisory services. • Have a sound knowledge of Advertising Rules and Regulations, including a working knowledge of FINRA Rule 2210 and 206(4)-1 of the Investment Adviser Act. Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
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