Manager, Supervision- Advertising Review

Job Description Summary Manages a team of compliance and audit officers and specialists to conducts internal audits in order to ensure compliance with outside regulatory requirements and internal policies. Lead and support associates during functional reviews and provide advanced support to our Financial Advisor and some home office departments, focusing specifically on the policies and procedures required by applicable regulators for advertising materials in the social media space. May participate in the formation of Supervision policies Acts as a mentor to new associates by sharing resources and encouraging their growth Takes on complex and extensive projects in coordination with Senior Management Develops new procedures and best practices for workflows Performs other duties and responsibilities as assigned. Relevant rules and regulations under FINRA 2210 and SEC Advertising Rules Relevant rules and regulations under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 ERISA and DOL rules and regulations Company's working structure, policies, mission, and strategies. Work Experience