Marketing Compliance Advisor

Yesterday

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Logo of Linqto

Linqto

FinTech β€’ Private Investing β€’ Secondary Trading β€’ Wealth Management β€’ Capital Investing

51 - 200

Description

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

Requirements

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

Benefits

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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