RFG Advisory is looking for an experienced, self-starter, and solutions-driven professional to join our compliance team to help oversee our growing and dynamic advisory business.

Reporting to the Chief Compliance Officer, the successful candidate will perform a critical role of reviewing and approving marketing communications for our Firm and our independent Advisors to ensure that all marketing materials are consistent with applicable regulatory rules.

This is a full-time position requiring 40 hours per week. We currently work a hybrid schedule, 3-days in-office and 2 days remote. Our corporate office is located in Birmingham, AL.

Responsibilities:  

• Review a wide variety of submitted marketing materials on behalf of the firm and its Advisors and provide a timely and precise response, including reasons for requested changes and suggestions where necessary. Follow-up through final admission and approval.
• Provide guidance to the firm, its employees, and Independent Advisors on communications content across multiple delivery channels: including but not limited to website, social media and print materials.
• Apply thorough review of content to ensure adherence to compliance regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)
• Facilitate the training of new team members, Advisors and their staff on marketing submission policies as well as regulatory and business standards.
• File all approved marketing materials to cloud-based secure storage solution.
• Interact with RFG Advisory’s broker dealer PCS.

Qualifications:  

• Proficient knowledge of the financial services industry and applicable rules and obligations of federal and state securities laws (SEC Marketing Rule, FINRA 2210, etc.).
• A Series 7 and Series 24 or 9/10 AND/OR Series 65/66 if RIA only background.
• 3+ years of advertising review experience.
• Ability to work collaboratively in a small-team environment as well as independently.
• Excellent verbal and written communications skills.
• Service-oriented with the ability to not only understand Advisor issues, but empathize with them and seek logical, equitable, and compliant solutions.
• Ability to “think outside the box” and develop strategic, creative, and nuanced solutions.
• Familiarity with FMG Suite & Marketing Pro ad submission software is preferred.

Benefits:

• Health, Dental, Vision Insurance with company stipend.
• 401k with non-elective safe harbor after 1-year.
• Medical and Dependent Care FSA.
• Company-sponsored Long- and Short-term disability and life insurance.
• 11-13 paid holidays per year.
• Paid Time Off- prorated up to 3 weeks in the first year.
• Maternity and Paternity leave.
• Charitable workday.
• Voluntary ancillary benefits including Life Insurance, Accident, Cancer and Critical Care coverage for you and your dependents.
• Loads of RFG swag!

Interested? Apply here: https://rfg-advisory.breezy.hr/p/455b1baa3487-director-of-compliance-supervision-advertising-marketing-review-specialist/apply