Job Description:
• Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners.
• Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials
• Assist with leveraging technology to enhance the automation of compliance
• Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices
• Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas.
• Assist with the development and delivery of compliance training programs for employees
• Assist with regulatory filings, audits, and examinations as needed
• Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings
• Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks
• Manage and oversee third-party due diligence processes for vendors and business partners
• Oversee individual and firm registrations with FINRA and the SEC
• Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer
• Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments.
Requirements:
• FINRA Series 7 & 24 required
• 3-5 years financial services experience with a Broker Dealer and/or SEC registered investment advisor
• 2+ years experience reviewing marketing and advertising materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Advertising Regulation Department
• Experience drafting policies and procedures
• Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important
• Knowledgeable of financial markets and investing
• Experience with systems such as Red Oak and Global Relay is a plus
• College degree preferred
• Knowledge of trading desk and back office mechanics
Benefits:
• Equal opportunity employer that values the benefits of diversity
• Prohibits discrimination and harassment
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