Marketing Compliance Advisor
November 4
Description
• 100% remote team • Compliance Analyst focusing on marketing communications review and approval • Advise on compliant communications and review content for use • Engage with content creators to identify potential risks early • Comfortable applying regulatory framework to evolving technology like AI and machine learning
Requirements
• 5+ years experience with a broker/dealer and/or investment adviser • 2+ years of marketing compliance experience in a financial services firm • Current Series 7 and 24 licenses required • Regulation D private fund experience a plus • Proficiency in FINRA Rules, securities laws, and other applicable regulations related to communications • Strong ability to issue-spot and identify red flags • Strong communication skills, with the ability to explain the application of regulatory principles
Benefits
• equity options • bonus programs • health insurance • vision insurance • dental insurance • disability insurance • life insurance • 401k • paid time off
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