Marketing Supervisory Principal - Nashville - D.A. Davidson & Co.

Description

Overview

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients financial well-being, we also work to strengthen local communitiesand giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Function

Under the supervision of the Wealth Management Supervisory Officer, Marketing and Planning Services, the Marketing Supervisory Principal serves as a marketing expert within the supervisory team and a resource for various departments and the front office regarding Communications with the Public. This role is responsible for reviewing and providing guidance and principal approval of brokerage and advisory communications in compliance with FINRA, SEC and state securities and insurance laws, rules and regulations.

Qualifications/Requirements

• Bachelors degree in finance, accounting or business-related field; or relevant securities industry experience
• Applicable industry exams: FINRA SIE, Series 7, Series 9/10 or 24, and Series 66 or 63/65. If not licensed, must obtain within 120 days
• Solid knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public, including social media
• Prior experience reviewing and approving broker/dealer and investment advisory communications preferred
• Strong written, oral and human relations skills. This role interacts with branch staff, marketing department personnel, and other supervisory personnel
• Ability to independently, reasonably, and consistently apply Communication with the Public rules in a supportive marketing environment
• Ability to assess overall risk and propose creative solutions based on current regulatory requirements
• High understanding of various software and capabilities, including Word, PowerPoint, Excel, and Outlook
• Strong organizational skills and attention to detail. Ability to work with a high-degree of accuracy while prioritizing multiple tasks
• Team player who projects a professional and personable manner at all times. Maintain client and Firm confidentiality
• Occasional opportunity to travel to educational conferences
• Ability to adapt to change and exhibit sound judgment
• Ability to maintain regular, predictable attendance
• Must have good time-management skills and be a self-starter

Duties

• Serve as a supervisory principal for the timely and accurate review and approval of traditional and electronic marketing, advertising and other business communications
• Work with Financial Professionals, branch staff, and Marketing on constructive revisions to meet applicable regulatory standards
• Serve as a supervisory subject matter expert for various social media communications mediums including, but not limited to, Facebook, LinkedIn, etc
• Serve as a resource for the Regional Directors, Regional Supervisory Principals and Branch Office Managers with respect to Communications with the Public
• Assist in development of training and processes related to Communications with the Public as identified through various supervisory reviews or regulatory updates
• Stay current on industry and regulatory updates and trends that affect how materials may be presented

What do we offer

• Competitive salary plus excellent benefits and perks including, but not limited to:
• Medical, Dental and Vision
• Company 401(k)and ESOP contribution
• Generous sick, vacation, and maternity/parental leave
• Paid holidays
• Professional Development Opportunities
• Tuition Reimbursement ($15,000 lifetime cap)
• Discounted personal insurance including home, auto and recreational vehicles
• Charitable gift-matching program
• Davidson Day of Giving Our tradition of positively impacting communities in which we live and work

The potential base pay hiring range for this role is $58,000 - $78,000 annually. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

Acknowledgment

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidsons California Resident Privacy Policy.

#J-18808-Ljbffr