girl looking into her desktop
Back to search results

Registered Principal - Marketing/Supervision

Pennington, New Jersey;

Job Description:

Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Lynch wealth management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Job Description:

The candidate will perform in-depth reviews and analysis on marketing and advertising communications for both internal and external audiences within the broker-dealer and investment advisory space. The job requires the RP to identify regulatory and reputational risks to the firm based on rules, regulations and internal policies. The  candidate should possess a broad understanding of securities industry regulations such as FINRA 2210, SEC Advertising, Regulation Best Interest and the new SEC Marketing rule. Experience with Financial Advisor marketing content and social media a plus.

Job Responsibilities:

  • Provide Registered Principal review and approval for Merrill’s Global Wealth Investment Management, Consumer Investments, Investment Solutions Group marketing and advertising communications and certain Institutional Retirement content
  • Ensure that advertising and sales literature meet all firm and regulatory requirements , demonstrating sound and consistent judgment
  • Provide oversight and supervision for digital advertising content, webinar recordings, audio recordings, replays etc. with the ability to decision  and provide feedback immediately to marketers
  • Focus on regulatory requirements of performance presentations in marketing and advertising
  • Interface with Marketing, Financial Advisors, Compliance, Risk and Legal departments, as necessary to clarify interpretations of regulations and firm policies
  • Work closely with marketing teams and LOB partners to provide guidance and insight into regulatory matters throughout the development of marketing campaigns and new initiatives
  • Stay in step with Firm-wide initiatives, policy changes, targeted review results, regulatory priorities, industry-wide disciplinary action by regulators
  • Comfortable working independently and in a team environment contributing to discussions to help resolve issues and find solutions
  • Ability to multi-task and manage multiple workflow tools and priorities to support various types of reviews and meet expedited deadlines

Required Qualifications:

  • Minimum of 5 years of directly related experience, preferably with experience in the Marketing/Regulatory Space
  • Prior experience reviewing marketing, advertising, and other communication materials and /or experience relating to compliance, legal, or risk management preferred.
  • Ability to think independently and manage multiple projects in a fast-paced, deadline-oriented environment is critical. 
  • Candidate should possess strong organizational and decision-making skills. 
  • Excellent verbal and written communication skills.
  • Skilled in using Microsoft Office Programs always helpful
  • Knowledge of various investment products and investment strategies a plus

Desired Qualifications:

  • Bachelors degree strongly preferred or equivalent experience
  • Supervisory registration S7, 24 (or relevant equivalents for the 24) and S66 strongly preferred, or ability to receive within compliance guidelines
  • Additional registrations such as 53 or 4 a plus.

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Lynch wealth management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Job Description:

The candidate will perform in-depth reviews and analysis on marketing and advertising communications for both internal and external audiences within the broker-dealer and investment advisory space. The job requires the RP to identify regulatory and reputational risks to the firm based on rules, regulations and internal policies. The  candidate should possess a broad understanding of securities industry regulations such as FINRA 2210, SEC Advertising, Regulation Best Interest and the new SEC Marketing rule. Experience with Financial Advisor marketing content and social media a plus.

Job Responsibilities:

  • Provide Registered Principal review and approval for Merrill’s Global Wealth Investment Management, Consumer Investments, Investment Solutions Group marketing and advertising communications and certain Institutional Retirement content
  • Ensure that advertising and sales literature meet all firm and regulatory requirements , demonstrating sound and consistent judgment
  • Provide oversight and supervision for digital advertising content, webinar recordings, audio recordings, replays etc. with the ability to decision  and provide feedback immediately to marketers
  • Focus on regulatory requirements of performance presentations in marketing and advertising
  • Interface with Marketing, Financial Advisors, Compliance, Risk and Legal departments, as necessary to clarify interpretations of regulations and firm policies
  • Work closely with marketing teams and LOB partners to provide guidance and insight into regulatory matters throughout the development of marketing campaigns and new initiatives
  • Stay in step with Firm-wide initiatives, policy changes, targeted review results, regulatory priorities, industry-wide disciplinary action by regulators
  • Comfortable working independently and in a team environment contributing to discussions to help resolve issues and find solutions
  • Ability to multi-task and manage multiple workflow tools and priorities to support various types of reviews and meet expedited deadlines

Required Qualifications:

  • Minimum of 5 years of directly related experience, preferably with experience in the Marketing/Regulatory Space
  • Prior experience reviewing marketing, advertising, and other communication materials and /or experience relating to compliance, legal, or risk management preferred.
  • Ability to think independently and manage multiple projects in a fast-paced, deadline-oriented environment is critical. 
  • Candidate should possess strong organizational and decision-making skills. 
  • Excellent verbal and written communication skills.
  • Skilled in using Microsoft Office Programs always helpful
  • Knowledge of various investment products and investment strategies a plus

Desired Qualifications:

  • Bachelors degree strongly preferred or equivalent experience
  • Supervisory registration S7, 24 (or relevant equivalents for the 24) and S66 strongly preferred, or ability to receive within compliance guidelines
  • Additional registrations such as 53 or 4 a plus.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-22087484

Band: H5

Manages People: No

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Daisy Steakley

Referral Bonus:

0

Jersey City pay and benefits information

Jersey City pay range:

$78,400 - $100,100 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.