Brokerage Marketing Compliance Specialist

Our values define us and our culture inspires us to change lives for the better. Our employees are the heart and soul of our company, and every success we experience begins with them. Together we are committed to making a positive impact in our local communities. We champion a culture of continuous learning, work-life integration, and inclusion. We promote a digitally enabled work environment to continuously enhance the experience of our employees and customers.

This is a full-time, hybrid career opportunity based out of our Corporate headquarters in downtown Lancaster, PA.

Hybrid schedule of 4 days onsite, 1 day work from home post successful training period.

This role plans, coordinates and executes various marketing and communication initiatives for the department that adhere to all legal, compliance and regulatory guidelines under the bank and broker/dealer operating environments. The role will work independently under general direction.

Manage creation, updates, renewals, and compliance approvals for all Fulton Financial Advisors (FFA) Brokerage related marketing materials, including any material used by FFA or Fulton Bank that references FFA brokerage, Raymond James, and/or investments; and coordinate all FFA Brokerage disclosure and client communication approvals with Raymond James Supervisory Compliance, Fulton Marketing, and Fulton Legal, as appropriate.
• Create monthly marketing/advertising newsletters, identify marketing-related items for weekly updates to educate staff, and maintain all FFA Brokerage marketing, client communication, and retail partnership support materials on the Fulton Bank HUB.
• Manage all social media for FFA Brokerage, including providing resources for financial advisors to use with their own business-related social media accounts.
• Research marketing and advertising opportunities through Fulton Bank and Raymond James that can be incorporated into the FFA Brokerage marketing strategic plan, and implement and administer the annual FFA Brokerage marketing strategic plan
• Responsible for the maintenance, process improvements/implementations, and documentation for all FFA Brokerage marketing/advertising processes; and oversee financial advisor business development allowances.
• Maintain accuracy of public-facing FFA Brokerage staff information residing on Fulton and Raymond James websites and coordinate with web master(s) for updates, including managing team member headshots; and coordinate with approved vendors for maintenance of online storefronts and placing orders related to FFA Brokerage marketing and communication.
• Develop an annual marketing plan for financial advisors and their teams; develop and maintain all FFA Brokerage materials used to educate retail partners, including Huddle Guides, Pocket Guides, and materials for training sessions; and lead training sessions with retail partners to educate them on FFA Brokerage's function, Broker Dealer relationship, compliance requirements, and how retail staff can introduce Fulton Bank clients to financial advisors.
• Serve as a back-up for Administrator - Brokerage Commission

• Plan, prioritize, and execute specified projects and initiatives, establishing timelines, milestones, communication and reporting touchpoints for management and relevant parties, and consult with managers and vendors as necessary.
• Coordinate and plan internal and external events and department meetings, including logistics, vendor sourcing and selection, facilities, and onsite elements in consultation with senior level managers and in partnership with appropriate internal or external parties.
• Develop, prepare, review, and distribute standard reporting or other documentation to appropriate parties as required, and provide administrative support including ensuring documents are compliant with internal or regulatory standards, and assisting with audits.

Associate Degree or the equivalent experience. Specialty: business or other applicable. (Required)

2 or more years project management, marketing, communications, compliance or other applicable. (Required)

3 or more years financial services, securities industry, or equivalent. (Preferred)

Must be able to be affiliated with our Broker Dealer. (Required)

• Skill in coordinating multiparty reviews (Required)
• Ability to sustain accurate publicfacing information (Required)
• Knowledge of disclosure standards and client communication requirements (Preferred)
• Knowledge of social media governance (Preferred)

This role may perform other job duties as assigned by the manager. Each employee of the Organization, regardless of position, is accountable for reading, understanding and acting on the contents of all Company-assigned and/or job related Compliance Programs, regulations and policies and procedures, as well as ensure that all Compliance Training assignments are completed by established due dates. This includes but is not limited to, understanding and identifying compliance risks impacting their department(s), ensuring compliance with applicable laws or regulations, and escalating compliance risks to the appropriate level of management.

To provide greater transparency to candidates, we share base salary ranges on all job postings regardless of state. We set standard salary ranges for our roles based on the position, function, and responsibilities, as benchmarked against similarly sized companies in our industry. Specific compensation offered will be determined based on a combination of factors including the candidate's knowledge, skills, depth of work experience, and relevant licenses/credentials. The salary range may vary based on geographic location.

The hourly rate for this position is $24.13 - $40.24.

Additionally, as part of our Total Rewards program, Fulton Bank offers a comprehensive benefits package to those who qualify. This includes medical plans with prescription drug coverage; flexible spending account or health savings account depending on the medical plan chosen; dental and vision insurance; life insurance; 401(k) program with employer match and Employee Stock Purchase Plan; paid time off programs including holiday pay and paid volunteer time; disability insurance coverage and maternity and parental leave; adoption assistance; educational assistance and a robust wellness program with financial incentives. To learn more about your potential eligibility for these programs, please visit Benefits & Wellness | Fulton Bank.

As a condition of employment, individuals must be authorized to work in the United States without sponsorship for a work visa by Fulton Bank currently or in the future.