FinTech β’ Private Investing β’ Secondary Trading β’ Wealth Management β’ Capital Investing
51 - 200
Yesterday
πΊπΈ United States β Remote
π΅ $125k - $175k / year
β° Full Time
π΄ Lead
π Senior
π Compliance
FinTech β’ Private Investing β’ Secondary Trading β’ Wealth Management β’ Capital Investing
51 - 200
β’ 100% remote team β’ Compliance Analyst focusing on marketing communications review and approval β’ Advise on compliant communications and review content for use β’ Engage with content creators to identify potential risks early β’ Comfortable applying regulatory framework to evolving technology like AI and machine learning
β’ 5+ years experience with a broker/dealer and/or investment adviser β’ 2+ years of marketing compliance experience in a financial services firm β’ Current Series 7 and 24 licenses required β’ Regulation D private fund experience a plus β’ Proficiency in FINRA Rules, securities laws, and other applicable regulations related to communications β’ Strong ability to issue-spot and identify red flags β’ Strong communication skills, with the ability to explain the application of regulatory principles
β’ equity options β’ bonus programs β’ health insurance β’ vision insurance β’ dental insurance β’ disability insurance β’ life insurance β’ 401k β’ paid time off
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51 - 200
Supports ACES Managed Questionnaires and analyzes compliance with banking laws.
πΊπΈ United States β Remote
π΅ $62k - $85k / year
π° Private Equity Round on 2019-07
β° Full Time
π‘ Mid-level
π Senior
π Compliance
Yesterday
51 - 200
Support clean energy demonstration projects at scale with private sector partnerships.
3 days ago
51 - 200
Regulatory Affairs Manager for innovative organ transplantation medical devices
3 days ago
10,000+
The Home Depot oversees trade compliance for North America.
πΊπΈ United States β Remote
π΅ $70k - $180k / year
π° Debt Financing on 2007-07
β° Full Time
π‘ Mid-level
π Senior
π Compliance