About the Role
You will review, advise, audit, and provide principal approval for retail communications to ensure compliance with regulatory standards and internal guidelines. You will collaborate with Marketing Social and Product teams to ensure customer facing content meets policy and SEC/FINRA rules. You will guide internal partners through complex projects to keep communications compliant while supporting the firm's growth in a fast paced environment.
Requirements
- Bachelor’s Degree
- FINRA Series 7 and 24 (Series 4 optional; willing to acquire within 120 days)
- 6+ years of experience in compliance or a related function with project leadership
- Experience with advertising review tools such as Red Oak Saifr PerformLine or similar
- Knowledge of FINRA rules such as 2210 and 2220 and SEC/FINRA books and records requirements
- Experience as a registered principal reviewing and approving communications with the public
- Ability to manage multiple priorities in a fast paced environment
- Strong written and verbal communication and negotiation skills with attention to detail
- Experience in financial services regulatory or compliance, audit, risk, marketing or communication
Responsibilities
- Review and approve public facing communications to ensure they meet regulatory and internal standards
- Partner with product and marketing teams to ensure customer facing content complies with policy
- Analyze and advise on the adherence of communications to compliance guidelines
- Develop and implement process improvements to increase quality and scalability
- Establish program efficiencies and enhance team processes
- Build strong relationships and align compliance strategies across stakeholders
- Guide internal customers on compliance for projects and deliverables
Benefits
- Challenging high impact work
- Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401k matching
- 100 percent paid health insurance for employees with 90 percent coverage for dependents
- Lifestyle wallet a flexible benefits spending account for wellness and learning
- Employer paid life and disability insurance, fertility benefits, and mental health benefits
- Paid time off including holidays, PTO, sick time, parental leave
- Catered meals events and comfortable workspaces