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BL Regulatory Review Rep 2 - Mutual Fund Advertising Review
MILWAUKEE WI 53208
Category: Banking, Insurance
  • Your pay will be discussed at your interview

Job code: lhw-e0-90672329

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U.S. Bank

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Summary

  Job posted:   Thu Jun 7, 2018
  Distance to work:   ? miles
       
  4 Views, 0 Applications  
 
BL Regulatory Review Rep 2 - Mutual Fund Advertising Review

**Description**






+ Perform the review and approval of fund client advertising and marketing materials

+ File required materials with FINRA within regulatory timeframes

+ Develop working knowledge of FINRA and SEC Rules and interpretations governing Communications with the Public

+ Provide guidance to mutual fund clients regarding advertising regulation

+ Track and update reviewed items for reporting and invoicing purposes

+ Ensure adherence to securities regulations and policies for employees and clients

+ Collaborate with Management in creating and updating firm policies and procedures and educational guides relating to the function of advertising review/filing

+ Perform other assignments as requested _Your Career is Here._


**Qualifications:**


Basic Qualifications

- Bachelor's degree, or equivalent work experience

- Two to three years of experience in regulatory compliance activities





**Preferred Skills/Experience**




+ Securities industry or mutual fund advertising review experience preferred

+ Series 6 or 7, Series 26 or 24 and Series 63 licenses or ability to obtain within 90-120 days required

+ Produce high-quality work that is accurate and thorough, with strong attention to detail

+ Possess excellent oral and written communication skills, professionally interacting with fund clients and colleagues throughout the organization

+ Manage multiple tasks simultaneously, prioritizing to effectively meet all deadlines

+ Use refined analytical and problem solving skills and judgment to quickly identify problem areas and proactively resolve issues

+ Exhibit exemplary customer service

+ Demonstrates ethics and integrity, adhering to USBFS' core values. Holds others accountable for upholding ethics and values.

+ Interacts collaboratively in a cooperative manner with team members and others across the organization.

+ Practices effective risk management strategies, following policies and procedures to mitigate the risk of loss to the company.

+ Shows a commitment to continual learning through professional development and growth, continually expanding his / her knowledge base.

+ Working knowledge of the applicable rules of the SEC and NASD/FINRA, General understanding of the investment management industry a plus.








**Job:** Risk/Compliance/QC/Audit/Fraud


**Primary Location:** Wisconsin-WI-Milwaukee


**Shift:** 1st - Daytime


**Average Hours Per Week:** 40


**Requisition ID:** 180021701


U.S. Bank is an Equal Opportunity Employer committed to creating a diverse workforce.
U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

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