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Compliance Communications Review Specialist II Job ID 2019-23737Primary Location Illinois, Chicago Regular/Temp Regular Full-Time/Part-Time Full-Time
How we communicate with the public is a key aspect of delivering on our promise of transforming lives and investing for the better. As we look for better ways to engage with clients and potential clients, and share the information they are looking for in a timely manner, we continually explore different channels. Whether it is a TV commercial or podcast, an email or social media message, an educational webcast or programming on the TD Ameritrade Network, the Communications Review Specialist has a role in reviewing and approving communications with the public.
The Communications Review Specialist role is designed for an Associate that thrives on the new and different, understands and embraces business goals, and can adapt to evolving channels of communication. You will be working closely with product, supervision and compliance partners to ensure communications meet business needs, including timeliness, while providing principal approval reflecting compliance with regulatory requirements.
Review and provide Principal approval for public communications such as advertisements, brochures, account forms and presentation slides that are submitted in accordance with regulatory rules and company policies and standards
Identify and mitigate or escalate potential gaps, risks or concerns with material reviewed
May provide qualified principal approval on futures, options, municipal securities and investment advisor communications
Coordinate the review process with various internal business partners including recommending and negotiating content edits and providing education on applicable rules, regulations and company policies
Review and approve for use materials such as videos that are submitted by third-parties (affiliated or not) for use on TDA websites
Coordinate filing of material in accordance with FINRA and SEC rules and regulations and company policies and standards
Continuously build and maintain knowledge of firm internal policies, procedures and products
Track changes or innovation internally that impact communications review
Remain abreast of current and changes to applicable rules and regulations in the securities industry
Build and maintain relationships with internal partners key stakeholders such as business leaders, compliance, retail supervision, and the client communications team
4 Year College Degree or Equivalent Experience
2+ years industry experience required; experience in a compliance capacity with a brokerage firm preferred.
Good working knowledge of the financial services/brokerage industry (including rules and regulations)
Good analytical, judgment and decision making skills
Strong verbal and written communication and negotiation skills
Strong attention to detail with a high level of quality
Ability to multi-task
Adaptability and ability to thrive in a fast-paced, deadline driven environment
Intermediate proficiency with Microsoft I Microsoft Word, Excel, Outlook and other related computer software
Role may require the incumbent be bilingual
Series 7, 63, and 24 licenses
One or more of Series 3, 4, 53, or 65 a plus
Military education or experience may be considered in lieu of civilian requirements listed
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Internal Number: 6470448
About TD Ameritrade
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