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Communications Review Specialist II

TD Ameritrade

TD Ameritrade

Communications Review Specialist II

Chicago, IL
Full Time
Paid
  • Responsibilities

    How we communicate with the public is a key aspect of delivering on our promise of transforming lives and investing for the better. As we look for better ways to engage with clients and potential clients, and share the information they are looking for in a timely manner, we continually explore different channels. Whether it is a TV commercial or podcast, an email or social media message, an educational webcast or programming on the TD Ameritrade Network, the Communications Review Specialist has a role in reviewing and approving communications with the public.

    The Communications Review Specialist role is designed for an Associate that thrives on the new and different, understands and embraces business goals, and can adapt to evolving channels of communication. You will be working closely with product, supervision and compliance partners to ensure communications meet business needs, including timeliness, while providing principal approval reflecting compliance with regulatory requirements.

    RESPONSIBILITIES:

    • Review and provide Principal approval for public communications such as advertisements, brochures, account forms and presentation slides that are submitted in accordance with regulatory rules and company policies and standards
    • Identify and mitigate or escalate potential gaps, risks or concerns with material reviewed
    • May provide qualified principal approval on futures, options, municipal securities, salessalsand investment advisor communications
    • Coordinate the review process with various internal business partners including recommending and negotiating content edits and providing education on applicable rules, regulations and company policies
    • Review and approve for use materials such as videos that are submitted by third-parties (affiliated or not) for use on TDA websites
    • Coordinate filing of material in accordance with FINRA and SEC rules and regulations and company policies and standards
    • Continuously build and maintain knowledge of firm internal policies, procedures, and products
    • Track changes or innovation internally that impact communications review
    • Remain abreast of current and changes to applicable rules and regulations in the securities industry
    • Build and maintain relationships with internal partners key stakeholders such as business leaders, compliance, retail supervision, and the client communications team
  • Qualifications

    REQUIREMENTS:

    • 4 Year College Degree or Equivalent Experience
    • 2+ years industry experience required; experience in a compliance capacity with a brokerage firm preferred.
    • Good working knowledge of the financial services/brokerage industry (including rules and regulations)
    • Good analytical, judgment and decision making skills
    • Strong verbal and written communication and negotiation skills
    • Strong attention to detail with a high level of quality
    • Ability to multi-task
    • Adaptability and ability to thrive in a fast-paced, deadline driven environment
    • Intermediate proficiency with Microsoft I Microsoft Word, Excel, Outlook and other related computer software
    • Role may require the incumbent be bilingual
    • Series 7, 63, and 24 licenses
    • One or more of Series 3, 4, 53, or 65 a plus
    • Military education or experience may be considered in lieu of civilian requirements listed
  • Industry
    Financial Services
  • About Us
    At TD Ameritrade we help individual investors pursue their financial goals through our brokerage subsidiaries. For more than 40 years we have been serving individual investors – from the first-time investor to the sophisticated trader, and from the “do-it-yourself” to the “do-it-for-me” investor. We offer a broad range of investment tools and services – all at a great value. We engage with our clients in many different ways including online, on-the-go via mobile applications, over the phone or through independent registered investment advisors. Our clients choose how they want to work with TD Ameritrade – not the other way around.