Job Details

JJob Summary

The Broker-Dealer Filing Coordinator is responsible for managing the end-to-end dealer filing process to ensure that marketing and sales materials are submitted, reviewed, approved, and maintained in compliance with broker-dealer firm requirements, regulatory standards, and internal policies. The role collaborates closely with Marketing, Sales, Compliance, and external broker-dealer firms to ensure timely approvals, regulatory compliance, and accurate tracking of filings.

Key Responsibilities

Dealer Filing Coordination

• Coordinate internal and external dealer filing submissions across multiple broker-dealer firms.
• Manage submission timelines, firm-specific requirements, and approval status tracking.
• Serve as the primary point of contact for dealer filing inquiries from internal teams and external firms.
• Ensure marketing and sales materials used by sales teams receive required approvals before external distribution.

• Work closely with Marketing, Sales, National Accounts, Compliance, and other stakeholders to support dealer filing priorities.
• Partner with internal stakeholders to manage submission prioritization and change requests.
• Collaborate with content and audience managers to ensure dealer filing accuracy for firm-specific content distribution.

• Maintain working knowledge of SEC and FINRA regulations related to sales and marketing materials.
• Understand and apply dealer filing classifications including:
• Prior-to-Use
• With-Use
• Rely
• Exempt filings
• Track compliance requirements such as Date of First Use (DOFU), Clean Letters, and Nevertheless Letters.
• Ensure dealer filing activities align with internal recordkeeping and compliance policies.

• Maintain dealer filing records in enterprise systems such as Workfront, Confluence, Microsoft Teams, Seismic, FileMaker Pro, and Excel.
• Apply appropriate content controls and restrictions to ensure dealer-specific materials are distributed correctly.
• Interpret literature codes and metadata to manage versioning and business segment identification.

• Maintain knowledge of broker-dealer firm requirements and submission limits.
• Monitor restrictions related to product references, disclosures, and documentation standards.
• Manage submission thresholds and approvals across broker-dealer firms.

• Compile and analyze dealer filing data for operational and compliance reporting.
• Generate recurring and ad-hoc reports related to filing requests, approvals, expiring materials, and compliance tracking.
• Ensure data accuracy, completeness, and audit readiness of filing records.

• Participate in dealer filing governance meetings and cross-functional stakeholder discussions.
• Support compliance, recordkeeping, and regulatory review processes.

• Knowledge of broker-dealer firm review processes and submission requirements.
• Understanding of SEC and FINRA regulations related to marketing and sales materials.
• Strong analytical, organizational, and reporting skills.
• Ability to manage multiple priorities across different firm requirements and deadlines.
• Excellent written and verbal communication skills.
• Experience with enterprise collaboration and content management tools.

• Familiarity with wealth management or institutional retirement business segments.
• Understanding of content lifecycle management and regulatory recordkeeping processes.
• Experience working in highly regulated financial services environments.