Job Description
**Essential Duties and Responsibilities:**
• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.
• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.
• Monitors and keeps up-to-date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.<...
• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.
• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.
• Monitors and keeps up-to-date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.<...