Compliance Specialist

Need at least two years of experience at a broker-dealer, investment adviser or regulatory agencyFINRA License Series 7 and 63 needed and will help get in the first 6 monthsHybrid:In office, currently Monday-Tuesday-Wednesday each week, with the option to work from home on Thursday and Friday.Job Description:Join our team and have an opportunity to grow and be crossed trained. The Marketing Compliance Specialist is responsible for implementing procedures and controls to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and other applicable regulatory agencies.Key ResponsibilitiesAssist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirementsAssist with FINRA registration requirements for the broker dealer and its registered representativesUnder the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representativesReview marketing materials to ensure compliance with applicable regulatory requirements, including FINRA Rule 2210 and the SEC Marketing Rule for registered investment advisersConduct testing to monitor compliance with established proceduresReview mutual fund disclosure documents for consistency with regulatory requirementsParticipate in assessments of new rules and regulationsParticipate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment productsMaintain accurate and complete books and recordsRequirementsBachelor's degree or commensurate work experienceAt least two years of experience at a broker-dealer, investment adviser or regulatory agencyFINRA License Series 7 and 63 (Required within 3 months of hire if not already obtained)Exceptional proofreading skills and attention to detailExcellent organizational skillsPreferred QualificationsPrior experience reviewing marketing materials for a broker-dealer or investment adviserWorking knowledge of the federal securities laws as they apply to broker-dealersFINRA Series 24 or 26 (Required within 6 months of hire)

Created: 2025-01-07