Dealer Filing Coordinator
Tata Consultancy Services, Irvine, CA, United States
Roles & Responsibilities
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
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
Maintain working knowledge of SEC and FINRA regulations and dealer filing determinations, including FINRA Prior to Use, With Use, Rely, and Exempt classifications
Internal use only and not sales material designations
Date of First Use (DOFU) requirements
Clean Letters and Nevertheless Letters
Understand the dealer filing role within the broader recordkeeping process
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
Maintain current knowledge of broker-dealer firm requirements, restrictions, and submission limits related to products such as mutual funds, SMAs, models, and ETFs
Manage submission volume limitations and active approval thresholds across firms (e.g., Edward Jones, Morgan Stanley, Merrill Lynch, Northwestern Mutual, Wells Fargo, UBS)
Collect, compile, and analyze dealer filing data for reports and presentations
Produce and distribute recurring and ad hoc reports (active
ew requests, obsoleted materials, expiring approvals)
Lead and participate in recurring dealer filing meetings and cross-functional stakeholder forums
Attend 4U Platform training sessions, office hours, and feature update meetings
Maintain a foundational understanding of the Non-Resident Client (NRC) process and ensure NRC public materials are categorized and dealer filed without FINRA review when applicable
Use and maintain dealer filing records in core systems and ensure proper metadata and versioning
Qualifications
Experience Required - 8+ Years
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
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
Familiarity with Wealth Management and Institutional Retirement business segments
Understanding of content lifecycle management, recordkeeping, and dealer-specific distribution controls
Tools, Systems, and Content Controls
Work with and maintain dealer filing records within core systems (e.g., Workfront, Confluence, Microsoft Teams, Seismic, the 4U Platform, FileMaker Pro Dealer Filing Database, Excel)
Apply appropriate content restrictions to ensure proper distribution and prevent unintended printing or distribution
Interpret literature codes to identify business segments, versioning, and metadata
Base Salary Range
$100,000 to $140,000 Per Annum
Benefits Summary
Discretionary Annual Incentive
Comprehensive Medical Coverage: Medical & Health, Dental & Vision, Disability Planning & Insurance, Pet Insurance Plans
Family Support: Maternal & Parental Leaves
Insurance Options: Auto & Home Insurance, Identity Theft Protection
Convenience & Professional Growth: Commuter Benefits & Certification & Training Reimbursement
Time Off: Vacation, Time Off, Sick Leave & Holidays
Legal & Financial Assistance: Legal Assistance, 401K Plan, Performance Bonus, College Fund, Student Loan Refinancing
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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
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
Maintain working knowledge of SEC and FINRA regulations and dealer filing determinations, including FINRA Prior to Use, With Use, Rely, and Exempt classifications
Internal use only and not sales material designations
Date of First Use (DOFU) requirements
Clean Letters and Nevertheless Letters
Understand the dealer filing role within the broader recordkeeping process
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
Maintain current knowledge of broker-dealer firm requirements, restrictions, and submission limits related to products such as mutual funds, SMAs, models, and ETFs
Manage submission volume limitations and active approval thresholds across firms (e.g., Edward Jones, Morgan Stanley, Merrill Lynch, Northwestern Mutual, Wells Fargo, UBS)
Collect, compile, and analyze dealer filing data for reports and presentations
Produce and distribute recurring and ad hoc reports (active
ew requests, obsoleted materials, expiring approvals)
Lead and participate in recurring dealer filing meetings and cross-functional stakeholder forums
Attend 4U Platform training sessions, office hours, and feature update meetings
Maintain a foundational understanding of the Non-Resident Client (NRC) process and ensure NRC public materials are categorized and dealer filed without FINRA review when applicable
Use and maintain dealer filing records in core systems and ensure proper metadata and versioning
Qualifications
Experience Required - 8+ Years
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
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
Familiarity with Wealth Management and Institutional Retirement business segments
Understanding of content lifecycle management, recordkeeping, and dealer-specific distribution controls
Tools, Systems, and Content Controls
Work with and maintain dealer filing records within core systems (e.g., Workfront, Confluence, Microsoft Teams, Seismic, the 4U Platform, FileMaker Pro Dealer Filing Database, Excel)
Apply appropriate content restrictions to ensure proper distribution and prevent unintended printing or distribution
Interpret literature codes to identify business segments, versioning, and metadata
Base Salary Range
$100,000 to $140,000 Per Annum
Benefits Summary
Discretionary Annual Incentive
Comprehensive Medical Coverage: Medical & Health, Dental & Vision, Disability Planning & Insurance, Pet Insurance Plans
Family Support: Maternal & Parental Leaves
Insurance Options: Auto & Home Insurance, Identity Theft Protection
Convenience & Professional Growth: Commuter Benefits & Certification & Training Reimbursement
Time Off: Vacation, Time Off, Sick Leave & Holidays
Legal & Financial Assistance: Legal Assistance, 401K Plan, Performance Bonus, College Fund, Student Loan Refinancing
#J-18808-Ljbffr