Private Client Group 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 focused on the review and supervision of communications as produced by Janney’s Private Client Group, comprised of Financial Advisors and their support teams. Types of content in scope for review includes websites, brochures, social media activity, general advertisements, market commentary, and other types of communications that are distributed to two or more recipients.

Responsibilities:

• Conduct principal review of content against established standards of the Firm.
• Function as day-to-day supervisory contact for Financial Advisors and their support teams, and provide guidance to retail employees about communications policies and procedures.
• Assist with other routine processes or ad-hoc projects i.e. training sessions.
• Evaluate for regulatory and reputational risk during review of publicly facing content.
• Work collaboratively with Financial Advisors and their support teams to make edits to custom content, as required, in line with standards of FINRA 2210, the SEC Marketing Rule, and other regulations.
• Other tasks as assigned.

What you are good at:

• Possessing the ability to manage 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 collaboration.
• Proactively identify opportunities to enhance compliance processes.
• Collaborating with team members and other departments across the organization.
• Independent self-starter who can maintain a sometimes-tight schedule under busy circumstances.

• Strong evaluation skills. The ability to interpret policy in relation to the review of the processes being examined.
• The ability to discern when certain issues require immediate escalation to your supervisor.
• Ability to create and deliver effective in-person and virtual training.
• Excellent communications skills.
• Proficiency in using Webex, MS Outlook, Word, Excel, and PowerPoint expected. Experience in use or management of Sharepoint, Hearsay, RegEd, Yext, Salesforce, 4U should be mentioned in applications/cover letters.

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. Highly desirable: 66 or commensurate licenses.
• Experience with application of policy in a highly regulated field, including experience with compliance and supervisory requirements.  
• Knowledge of broker-dealer products and services, including brokerage-specific offerings as well as advisory services.
• Familiarity with or curiosity about 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.