Marketing Regulation Analyst

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Marketing Regulation Team is adding a new team member to support the documentation and application of standards for review and supervision of communications as produced by the Firm, as well as training on those standards. This role will work with the Director of Marketing Regulation as well as assigned internal partners to, among other assigned duties, create documentation of program standards, and administer training programs designed to ensure comprehension of and compliance with policies and procedures as applied to the Marketing Regulation Team. This person will also act as back-up for the Marketing Regulation team's supervisory efforts when needed.

Responsibilities:

• Assist in the creation and maintenance of written process and procedure for various supervisory responsibilities across the firm, including in the Private Client Group and the Marketing & Corporate Communications department.
• Function as day-to-day contact for home office first-line supervisors.
• Create proactive training with varied internal audiences (corporate partners vs. Financial Advisors/PCG Employees) for different topics, including supervision best practices, new vendor training, etc.
• Develop and maintain training schedule for clients, as assigned by leadership.
• Work collaboratively with home office leaders to make edits to custom content, as required, in line with standards of FINRA 2210, the SEC Marketing Rule, and other regulations.
• Support the Marketing Regulation team's supervisory efforts when needed for back-up or volume management.

What you are good at:

• Possessing the ability to take on multiple requests at once and effectively complete tasks in a time efficient manner.
• Ability to synthesize and convey information orally and in writing around process and standards to different audience types including retail, institutional, and corporate employees.
• Connecting with others in a way that fosters trust and creates collaborative relationships.
• Proactively identify opportunities to enhance supervisory processes.
• Collaborating with team members and other departments across the organization.
• Independent self-starter who can maintain a sometimes-tight schedule under busy circumstances.

• Ability to translate verbal guidance to written standards; history of policy creation/maintenance a plus.
• Strong evaluation skills. The ability to evaluate policies and determine whether the written policy appropriately responds to the supervisory requirements at play.
• The ability to discern when certain issues require immediate escalation to your supervisor.
• Ability to create and deliver effective in-person and virtual training to groups of varying size/composition.
• Excellent written and oral communications skills.
• Proficiency in using Webex, MS Outlook, Word, Excel, and PowerPoint expected. Experience in/use/management of Sharepoint, Hearsay, RegEd, Yext, Salesforce, 4U should be mentioned in applications.

Experience/Education:

• Bachelor's degree or commensurate experience.
• Required licenses include at a minimum FINRA Securities Industry Essential Exam, Series 7, and Series 24 securities licenses (or within 90 days of hire). Highly desirable: FINRA Series 66 or commensurate licenses.
• Commensurate regulatory or brokerage experience, preferably in the realm of communications supervision or general compliance.
• Knowledge of broker-dealer products and services, including brokerage-specific offerings as well as advisory services.
• Familiarity with industry rules relative to communications requirements and supervision, including FINRA 2210, FINRA 3110, the SEC Marketing Rule, MSRB G-37, and related notices.

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.