Dealer Filing Coordinator

Irvine, CA - USA

Monthly Salary: Not Disclosed

Posted on: 7 hours ago

Vacancies: 1 Vacancy

Job Summary

Role - Dealer Filing Coordinator

Experience Required - 8 Years

Must Have Technical/Functional Skills

Knowledge of broker-dealer firm review processes and submission requirements

Understanding SEC and FINRA regulations related to sales and marketing materials

Strong analytical organizational and reporting skills

Ability to manage multiple priorities and deadlines across firm-specific constraints

Strong written and verbal communication skills for internal and external stakeholders

Proficiency with enterprise content management and collaboration tools

Demonstrated alignment with organizational values including integrity respect collaboration accountability consistency humility and long-term focus

Comfort with change management and continuous process improvement

Ability to work effectively in a highly regulated cross-functional environment

Familiarity with Wealth Management and Institutional Retirement business segments

Understanding of content lifecycle management recordkeeping and dealer-specific distribution controls

Roles & Responsibilities

Dealer Filing Coordination

Coordinate internal and external dealer filing submissions across supported broker-dealer firms

Manage submission timelines firm-specific requirements and approval status tracking

Serve as a primary point of contact for dealer filing inquiries from internal teams and external firms

Ensure materials presented by sales teams have received required firm approvals

Cross-Functional Collaboration

Work closely with Marketing Sales National Accounts Compliance and other stakeholders to support dealer filing priorities

Partner with XC and FC firm stakeholders to manage submission prioritization and change requests

Collaborate with FC audience managers to ensure dealer filing accuracy for content hosted on firm-specific microsites

Regulatory and Compliance Support

Maintain working knowledge of SEC and FINRA regulations and dealer filing determinations including:

o FINRA Prior to Use With Use Rely and Exempt classifications

o Internal use only and not sales material designations

o Date of First Use (DOFU) requirements

o Clean Letters and Nevertheless Letters

Understand the dealer filing role within the broader recordkeeping process

Tools Systems and Content Controls

Use and maintain dealer filing records within core systems including Workfront Confluence Microsoft Teams Seismic the 4U Platform the FileMaker Pro Dealer Filing Database and Excel dealer filing spreadsheets

Apply appropriate content restrictions in Workfront to ensure dealer-specific materials feed correctly into Toppan Merrill Storefront and prevent unintended printing or distribution

Interpret literature codes to identify business segments versioning and applicable metadata

Firm-Specific Requirements Management

Maintain current knowledge of broker-dealer firm requirements restrictions and submission limits related to:

o Product references (mutual funds SMAs models ETFs)

o Website and PDF links

o Footers and disclosures

Manage submission volume limitations and active approval thresholds across firms including Edward Jones Morgan Stanley Merrill Lynch Northwestern Mutual Wells Fargo and UBS

Reporting and Data Analysis

Collect compile and analyze moderately complex dealer filing data for reports and presentations

Produce and distribute recurring and ad hoc reports including active/new requests obsoleted materials and expiring approvals

Ensure accuracy completeness and integrity of dealer filing records and reporting outputs

Meetings and Governance

Lead and participate in recurring dealer filing meetings including bi-weekly monthly quarterly and cross-functional stakeholder forums

Participate in recordkeeping and compliance-related meetings

Attend 4U Platform training sessions office hours and feature update meetings

Specialized Processes

Maintain a foundational understanding of the Non-Resident Client (NRC) process including the treatment of NRC materials as non-record-kept and offshore mutual fund submissions

Ensure NRC public materials are appropriately categorized and dealer filed without FINRA review when applicable

Base Salary Range : $100000 to $140000 Per Annum

TCS Employee Benefits Summary:

Discretionary Annual Incentive.

Comprehensive Medical Coverage: Medical & Health Dental & Vision Disability Planning & Insurance Pet Insurance Plans.

Family Support: Maternal & Parental Leaves.

Insurance Options: Auto & Home Insurance Identity Theft Protection.

Convenience & Professional Growth: Commuter Benefits & Certification & Training Reimbursement.

Time Off: Vacation Time Off Sick Leave & Holidays.

Legal & Financial Assistance: Legal Assistance 401K Plan Performance Bonus College Fund Student Loan Refinancing.

Role - Dealer Filing Coordinator Experience Required - 8 Years Must Have Technical/Functional Skills Knowledge of broker-dealer firm review processes and submission requirements Understanding SEC and FINRA regulations related to sales and marketing materials Strong analytical or...