The Strategic Financial Alliance is a new generation financial services organization that goes far beyond traditional broker-dealer, RIA, and insurance transactions to provide a strategic, open, and professional, business development platform for independent advisors and their clients. Our platform enables our advisors to offer clients a comprehensive planning approach to their entire financial lives – and one that can be most effective in helping them seek to protect, preserve, accumulate, and transfer wealth.
Our parent company, SFA Holdings, Inc., is currently seeking career professionals for opportunities in the following area:
Communications Review Principal
The Communications Review Principal will conduct and manage the review and approval of broker/dealer and investment adviser communication with the public, including retail communications and social media. This position will maintain logs and monitor compliance as well as develop and facilitate training and education on SFA procedures and guidelines related to communications with the public, email review of home office supervised advisors, third-party material review, and the review, approval and tracking of Financial Advisor participation in vendor-sponsored due diligence trips and cash/non-cash compensation.
Position requires five years’ experience in Compliance and or broker-dealer marketing, knowledge of FINRA and SEC rules related to communications with the public, previous experience in advertising and social media for both broker-dealers and investment advisers, and a Series 7 and Series 24 licenses required. Excellent written, verbal and grammatical skills required along with proficiency in Microsoft Office Products (Word, Excel, PowerPoint.) Must be detail-oriented, above average time management skills with the ability to handle a high volume of work projects independently.
SFA offers a competitive benefits and compensation package consisting of medical, dental, vision, Section 125 flexible spending account, disability, life insurance, matching 401 (k) retirement plan, stock options, discretionary annual bonus potential, as well as holiday and PTO time-off provisions.
Company: Strategic Financial Alliance
If you are an experienced and qualified professional who possesses high standards, dedication, commitment, and a passion for teamwork and success, please email cover letter and resume to the attention of Human Resources at email@example.com and reference the name of the position applying for in the Subject line of the email.