Dealer Filing Coordinator (W2 Only)

Title                                : Dealer Filling Coordinator / Project Manager

Location                        : Irvine, CA (Onsite)

Duration                        :6Months

 Mode                             :W2

Rate                                :$53/hr on W2

Role Summary:
The Dealer Filing Coordinator manages the end-to-end dealer filing process, ensuring marketing and sales materials are submitted, reviewed, approved, and maintained in compliance with broker-dealer requirements, SEC regulations, and internal policies. This role partners with Marketing, Sales, Compliance, and external firms to support timely and accurate approvals and reporting. 

Key Responsibilities:

·         Coordinate dealer filing submissions and track approval status across broker-dealer firms.

·         Serve as the primary contact for dealer filing inquiries internally and externally.

·         Ensure sales materials have required firm approvals before external use.

·         Maintain compliance with SEC and Client regulations, including material classifications and recordkeeping requirements.

·         Use content management tools (Workfront, Seismic, FileMaker, Excel) to manage filings and apply content restrictions.

·         Maintain knowledge of firm-specific requirements, submission limits, and approval thresholds.

·         Produce and analyze reports on filing activity, expiring approvals, and compliance metrics.

·         Participate in cross-functional meetings, governance, and continuous process improvement initiatives.

Required Skills & Competencies:

·         Knowledge of broker-dealer review processes and submission requirements.

·         Understanding of SEC and Client regulations related to marketing materials.

·         Strong organizational, analytical, and communication skills.

·         Ability to manage multiple priorities across firms.

·         Proficiency with enterprise content management and collaboration tools.

·         Alignment with organizational values and comfort in a regulated environment.

Preferred Knowledge:

·         Familiarity with Wealth Management and Institutional Retirement business segments.

·         Understanding of content lifecycle management and dealer-specific distribution controls.