Senior Compliance RIA Advertising Review Analyst

Management
September 27, 2024

Job Description

  • Woodmere
  • 85000 - 100000

Stratos Wealth Partners LLC

Stratos Wealth Partners, recently named a Top Workplace in Cleveland, OH is adding to our Compliance Team, where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to focus primarily on RIA Advertising review and approval. We are a growing department that offers room to develop and advance skills.

Essential Duties and Responsibilities:

  • Primary Function: Lead the Program for the Review and Approval of RIA Advertising
    • Lead the function, under the guidance of management, of reviewing and approving RIA advertising submitted by advisors.
      • Utilize technology tool to provide administrative support and document retention.
      • Appropriately collaborate with team members to assist with effective and efficient advertising reviews and approvals.
      • Provide adequate guidance and communication to advisors regarding advertising reviews and requested changes. Be available to advisors to provide education.

    • Continually work to improve the advertising review and approval program by offering suggestions for improvement and collaborating with team members and management to implement solutions.

  • Additional Responsibilities
    • Facilitate advertising review through LPL Financial.
    • Complete assigned Branch Exams with all appropriate write-ups and follow ups.
    • Respond to incoming Compliance inquiries.
    • Perform additional projects and tasks in support of the Stratos Compliance program as assigned, including items such as Trade Error Reporting, personal securities trading oversight, provisioning of compliance technology tool, etc.


  • Bachelor’s degree
  • Series 65 and prior RIA Advertising Review Experience
  • FINRA SIE, Series 7, and 24
  • Strong Attention to Detail / Data Organization
  • Proficient with technology
  • Strong communication skills, written and verbal
  • Ability to work in a fast-paced, changing environment
  • Collaborative mentality; strong team orientation

Source ⇲

To apply, please visit the following URL:https://www.whatjobs.com/pub_api__cpl__1722091523__5076?utm_campaign=publisher&utm_medium=api&utm_source=5076&geoID=28378→

Related Jobs