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Advertising Compliance Analyst

Madison Avenue Securities, a subsidiary of Asset Marketing Systems, is seeking applicants for their Due Diligence Manager. This exempt position is located at our headquarters in San Diego, California, and reports to the Chief Operating Officer. The following represents a brief description of the position and the qualifications required for applicants.

• Perform standard advertising reviews and approvals – maintain log of all approvals and related reporting. Review to include, but not limited to Websites / Blogs, Mailers, Invitations, Seminars, Presentations / PowerPoint, Sales Literature, Newsletters, E-mails, Correspondence.
• Assists in the submission of appropriate materials with the FINRA Advertising Regulations Dept. and related record retention.
• Strongly supports registered reps in a timely and professional customer service capacity
• Collaborate administratively on varying compliance projects within department
• Assists in the maintenance of a variety of logs and spreadsheets for department
• Provide administrative support, as needed, for Director, Compliance with regard to branch office audits
• Perform spot check audits as requested; email, correspondence etc. and uses internet to review for possible advertising infractions by representatives
• Supports VP, Chief Compliance Officer, as needed, with regard to compilation of response materials related to customer complaints or regulatory (FINRA, SEC, State etc.) inquiries or examinations.

• Bachelor’s degree or equivalent work experience
• Minimum of three (3) years experience in insurance, securities, investment advisory, financial planning, banking, preferably experience within a Compliance department
• Series 7 & 24 required or able to acquire S24 within 60 days of start date
• Ability to work independently, with confidential information, prioritize, multi-task at a high level, and interact with all levels of internal and external contacts
• High level analytical and problem-solving skills
• Excellent oral and written communication skills as well as organizational skills
• High level computer competency to include MS Office and network shared drives
• Excellent proofing and editing skills

Physical demands and work environment:The physical demands and work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• Physical demands: While performing the duties of this job, the employee is frequently required to sit; use hands to finger, handle, feel objects, and type on keyboard; reach with hands and arms; talk and hear. Specific vision abilities required by the job include close vision, distance vision, depth perception, and the ability to adjust focus.
• Work environment: The noise level in the work environment is usually minimal.