| Job Description: |
"• Knowledge of broker-dealer firm review processes and submission requirements
• Understanding SEC and FINRA regulations related to sales and marketing materials"
"Role Description
Dealer Filing Coordinator
Position Summary
The Dealer Filing Coordinator is responsible for managing the end-to-end dealer filing process to ensure marketing and sales materials are submitted, reviewed, approved, and maintained in compliance with broker-dealer firm requirements, regulatory standards, and internal policies. This role partners closely with Marketing, Sales, National Accounts, Compliance, and external broker-dealer firms to support timely and accurate content approvals and reporting.
Dealer filing is conducted either to meet contractual obligations or at the request of a firm. While not all materials require dealer filing, only firm-approved materials may be used externally. Each firm maintains its own submission processes, review limits, and timelines, which the Dealer Filing Coordinator must actively manage and communicate to stakeholders.
Key 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
Required Knowledge and 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
Core Competencies and Values
• 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
Business Knowledge
• Familiarity with Wealth Management and Institutional Retirement business segments
• Understanding of content lifecycle management, recordkeeping, and dealer-specific distribution controls
"
Role Descriptions: The role requires strong knowledge of broker dealer filing processes and SECFINRA regulations| along with the ability to coordinate approvals| manage firm specific requirements| and ensure compliance of sales and marketing materials. It also demands strong analytical| organizational| communication skills and proficiency with enterprise content| reporting| and collaboration tools in a highly regulated| cross functional environment
Essential Skills: The role requires strong knowledge of broker dealer filing processes and SECFINRA regulations| along with the ability to coordinate approvals| manage firm specific requirements| and ensure compliance of sales and marketing materials. It also demands strong analytical| organizational| communication skills and proficiency with enterprise content| reporting| and collaboration tools in a highly regulated| cross functional environment
Desirable Skills:
Keyword:
Skills: Performance Monitoring
Experience Required: 6-8 |
