The Dealer Filing Coordinator manages dealer filing submissions across broker-dealer firms, ensuring compliance with SEC and FINRA regulations. This role supports cross-functional teams, maintains accurate records, and ensures all sales and marketing materials are properly approved and distributed.
Core Responsibilities
- Coordinate dealer filing submissions and track timelines, approvals, and firm-specific requirements.
- Serve as primary contact for internal teams and broker-dealer inquiries.
- Ensure sales materials receive required firm approvals prior to distribution.
- Partner with Marketing, Sales, Compliance, National Accounts, and firm stakeholders to prioritize submissions and manage change requests.
- Ensure accuracy of dealer filings for content on firm-specific microsites.
- Maintain knowledge of SEC and FINRA rules, including Prior to Use, With Use, Rely, Exempt, internal use, and non-sales classifications.
- Support Date of First Use (DOFU) tracking and approval letters (Clean/Nevertheless).
- Maintain records in Workfront, Confluence, Microsoft Teams, Seismic, 4U Platform, FileMaker Pro, and Excel.
- Apply content restrictions to ensure proper distribution and prevent unintended use.
- Interpret literature codes for business segment, versioning, and metadata.
- Stay current on submission limits, restrictions, and disclaimers for firms including Edward Jones, Morgan Stanley, Merrill Lynch, Northwestern Mutual, Wells Fargo, and UBS.
- Compile, analyze, and distribute recurring and ad hoc dealer filing reports.
- Ensure accuracy and completeness of all reporting outputs.
- Support Non-Resident Client (NRC) process for offshore and non-record-kept materials.
Required Skills & Competencies
- Knowledge of broker-dealer submission processes and SEC/FINRA regulations.
- Strong analytical, organizational, and reporting skills.
- Excellent communication and stakeholder management.
- Experience with enterprise content management tools.
- Familiarity with Wealth Management and Institutional Retirement segments.
- Alignment with organizational values and ability to work in regulated, cross-functional environments.