Responsible for the review and approval of Broker/Dealer and Investment Adviser communications prepared internally by Waddell & Reed or externally by advisors and staff to ensure compliance with regulatory requirements and company policies.
Timely review, approval and filing with the FINRA, if required of correspondence, internal, retail, and institutional communications.
Diplomatically and proactively communicate content concerns, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language to comply with regulatory rules and company policies.
Assist the communication supervision team in the development and maintenance of internal procedures related to systems we used to review and approve communications and firm policies related to communications with the public.
Assist the communication supervision team with running reports, providing files, etc. as requested by our business partners or regulatory agencies.
Work closely with the other departments (e.g., marketing, legal, compliance, etc.), as needed, regarding communications reviews, internal procedures, written policies, etc.
Prepare for and participate in, if needed, all regulatory and corporate audits related to communications reviewed and approved.
Perform special projects as assigned.
College Degree preferably in Finance or related field.
A minimum of 10 years of pertinent industry or regulatory experience.
A minimum of 5 years of experience reviewing and approval of communications within a broker/dealer or investment advisory firm preferably both.
Strong knowledge of FINRA and SEC rules.
Series 7 and 24
Waddell & Reed Financial, Inc