Registered Principal

Job Description:

Job Title Registered Principal

Corporate Title Assistant Vice President

Location Jacksonville, FL

Overview

The Marketing Review Officer is a member of the Business Supervisory Office and works directly with the front office, senior leaders, sales teams, Compliance, and Legal to review and approve advertisements, marketing materials, sales literature, and certain other types of correspondence created and utilized by the Private Bank. This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series 24 reviewing communications and marketing materials acting as a gatekeeper. You will supervise content from a broker/dealer and a bank therefore familiarity of regulatory rules associated with “Communications with the Public” is required.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
• Educational resources, matching gift, and volunteer programs

What You’ll Do

• Review and approval of communications with the public
• Review, approval, and maintenance of relevant Policies and Procedures such as Written Supervisory Procedures and Key Operating Drivers
• Knowledge of financial regulations including Securities and Exchange Commission, FINRA, and The Federal Reserve including but not limited to Volcker, General Business Security Agreement, Markets in Financial Instruments Directive, Foreign Account Tax Compliance Act and the 3rd and 4th European Union Anti-Money Laundering mandates
• Risk MIS / report review, resolution, escalations
• Role is both tactical and strategic in nature –you will be responsible for coordination of strategic longer-term initiatives, can build strong relationships with senior leadership team and initiate/develop enhancements projects as well as day to day support in these initiatives
• Liaise with Legal, Compliance, Divisional Control Office, market and product heads, Agile and Chief Operating Office and other internal partners to develop and implement solutions/compliance with various regulatory (internal and external) requirements

Key Activities:

• - Act as a FINRA Series 24 Registered Principal to review and approve retail and institutional communications, correspondence, advertising, sales literature, website content, presentations, emails, educational materials, and other marketing communications.
• Ensure communications comply with applicable regulatory requirements, including:
  • FINRA Rule 2210 (Communications with the Public)
  • FINRA Rule 3110 supervisory requirements
  • Regulatory guidance, firm policies, and industry best practices

• Provide regulatory guidance to business stakeholders regarding disclosures, performance presentations, product descriptions, and marketing campaigns.
• Assist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations
• Assist in the surveillance of capital market trades i.e., analyze trade alerts to identify relevant Market Abuse themes such as front running, pump and dump, market manipulation etc.
• Verify the trades executed are in the best interest and in line with the suitability (i.e., risk profile) of the client

Skills You’ll Need

• Relevant industry experience in Regulatory & Supervision
• Series 7, 24, (Series 4 optional)
• Strong risk mindset, but also curious to engage with leadership team to develop new opportunities/enhancements
• Prior experience working with international clientele/organizations preferred
• Language: English, additional language skills such as Spanish would be preferential, but not required

Skills That Will Help You Excel

• Motivated and enthusiastic team player, able to work with others in a fast paced, independent, and dynamic financial environment
• Aspiration for further growth opportunities
• Strong communication skills
• Must be detail oriented on specific regulatory controls and have an analytical mindset with the ability to deliver key insights
• Ability to say ‘no’, while being solution focused

Expectations

It is the Bank’s expectation that employees hired into this role will work in the Jacksonvi