Project Manager / Dealer Filling Coordinator - Irvine, CA - onsite
Rohit pal
Hi Vendors,
Role - Project Manager / Dealer Filling Coordinator
Location – Irvine, CA - onsite
Type – Contract
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
"
Best Regards
Rohit Kumar (Sr.Technical Recruiter)
Intellisoft Technologies Inc.
11494 Luna Road, Ste 280 Farmers Branch, TX -75234