The Advertising Compliance Principal shall use independent judgment and discretion to ensure marketing... materials maintain regulatory compliance with Regulation A+, Regulation CF, and Regulation D. Work independently in the review and approval of private placement material to ensure compliance with regulatory requirements for broker-dealers and issuers. Interact daily with marketing department staff concerning advertising review matters, providing advice and guidance to identify and resolve issues. Assist with updates to the WSPs, related policies and procedures, and develop new policies, as needed. You will aspire to our four core values: Multistakeholder - you have dedication and commitment to our customers, shareholders, employees and families and local communities. Current holder of FINRA Series 7, 24, 63 licenses.
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