To be successful in this role, you should have strong experience with mutual funds, variable annuity and/or ETF advertising/marketing review experience. Coordinate with the Marketing department and various other internal departments, personnel and business units in order to timely review and approve all communications. Maintain the records of all approved materials as per SEC recordkeeping rules and internal policies and procedures 5 to 7 years of relevant marketing/advertising review and compliance experience Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
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