Bank of America Marketing Registered Principal in Chicago, Illinois
The Marketing Registered Principal (RP) will review and provide regulatory approval of advertising/communications with the public) and internal-use-only content related to broker dealer and investment advisory materials. The RP reviews are based on firm policies and regulatory guidelines. The review and approvals flow through a formal submission process platform. Partners from Compliance, Brand, and Legal as well as line of business personnel and other subject matter experts could also participate in the online review process. The Marketing Registered Principal Team is also responsible for submitting -task, and thrive work in a fast-paced team environment.
Experience and working knowledge with FINRA regulations valuable.
Previous experience as either a Registered Principal or a Compliance advertising reviewer within a broker-dealer or investment advisory environment is required.
Experience with reviewing communications with the public, including annuities, mutual funds, options, closed end funds, ETF’s, alternative investments and municipal products
Experience with review of social media content helpful: (Twitter, You Tube, Native Advertising & LinkedIn).
Institutional Retirement products, plan participant materials such as 401(k)s, defined benefit plans, equity stock option plans is preferred.
Registrations: FINRA Series 7, 24 and 66
Prefer fully licensed candidates (candidates having all Series 7, 24, 63/65 or 66, 4); however, for FINRA Series 63/65 or 66, Series 4 (options) registrations, candidate must be willing to obtain within a 90-day timeframe (failure to do so could result in termination)
Locations Preferred: Hopewell, NJ, NY, NY, Jersey City, Charlotte, NC, Jacksonville, FL
Other locations considered if near a Bank of America or Merrill Lynch office.
Posting Date : 03/27/2018
Jacksonville, FL, JACKSONVILLE 2, 4802 DEER LAKE DR E,
Chicago, IL, 540 W MADISON ST (IL4540),
Boston, MA, 100 FEDERAL ST (MA5100),
Jersey City, NJ, 15 EXCHANGE PL (NJ2015),
Pennington, NJ, HOPEWELL BLDG. 6, 1600 AMERICAN BLVD,
New York, NY, BANK OF AMERICA TOWER, ONE BRYANT PARK,
Charlotte, NC, BANK OF AMERICA PLAZA, 101 S TRYON ST,
Lincoln, RI, 670 GEORGE WASHINGTON HWY (RI1541),
- United States
Travel : Yes, 10% of the time
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
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Diversity & Inclusion
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