Marketing Registered Principal

Bank Of America Corporation Lincoln , RI 02865

Posted 2 weeks ago

Job Description:


Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Lynch wealth management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Merrill Lynch's financial advisors help clients pursue the life they envision through a one-on-one relationship with an advisor committed to their needs. We believe trust comes from transparency. Our trusted financial advisors are equipped with access to the investment insights of Merrill Lynch coupled with the banking convenience of Bank of America.

Marketing Registered Principal

Job Description:

The Marketing Registered Principal (RP) will review and provide regulatory approval of advertising/communications with the public) and internal-use-only content related to broker dealer and investment advisory materials. The RP reviews are based on firm policies and regulatory guidelines. The review and approvals flow through a formal submission process platform. Partners from front-line Compliance, Brand, and Legal as well as line of business personnel and other subject matter experts could also participate in the online review process. The Marketing Registered Principal Team is also responsible for submitting -task, and thrive in a combination independent environment existing within a team collaborative environment.

Required skills

  • 4 plus years experience and working knowledge with FINRA regulations .

  • 2 plus years of previous experience as either a Registered Principal or a Compliance advertising reviewer within a broker-dealer or investment advisory environment is required.

  • 5 plus years experience with reviewing communications with the public, including annuities, mutual funds, options, closed end funds, ETF's, alternative investments and municipal products. FINRA rule 2210.

  • Experience with review of social media content: (Twitter, You Tube, Native Advertising & LinkedIn).

  • Institutional Retirement products, plan participant materials such as 401(k)s, defined benefit plans, equity stock option plans is preferred.

  • Registrations: CURRENT FINRA Series 7, 24 and 66 (or 63/65 as substitute for 66) is a must

  • Prefer candidates with a series 4 registration.

Posting Date: 03/11/2019

Location: Jacksonville, FL, JACKSONVILLE 2, 4802 DEER LAKE DR E, Boston, MA, 100 FEDERAL ST (MA5100), Pennington, NJ, HOPEWELL BLDG. 6, 1600 AMERICAN BLVD, Charlotte, NC, BANK OF AMERICA PLAZA, 101 S TRYON ST, Lincoln, RI, 670 GEORGE WASHINGTON HWY (RI1541), - United States

Travel: Yes, 10% of the time

Full / Part-time: Full time

Hours Per Week: 40

Shift: 1st shift

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Marketing Registered Principal

Bank Of America Corporation