Job Description

• Need at least two years of experience at a broker-dealer, investment adviser or regulatory agency
• FINRA License Series 7 and 63 needed and will help get in the first 6 months

Hybrid: 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 Responsibilities

• Assist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements
• Assist with FINRA registration requirements for the broker dealer and its registered representatives
• Under the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representatives
• Review marketing materials to ensure compliance with applicable regulatory requirements, including FINRA Rule 2210 and the SEC Marketing Rule for registered investment advisers
• Conduct testing to monitor compliance with established procedures
• Review mutual fund disclosure documents for consistency with regulatory requirements
• Participate in assessments of new rules and regulations
• Participate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment products
• Maintain accurate and complete books and records

Requirements

• Bachelor's degree or commensurate work experience
• At least two years of experience at a broker-dealer, investment adviser or regulatory agency
• FINRA License Series 7 and 63 (Required within 3 months of hire if not already obtained)
• Exceptional proofreading skills and attention to detail
• Excellent organizational skills

Preferred Qualifications

• Prior experience reviewing marketing materials for a broker-dealer or investment adviser
• Working knowledge of the federal securities laws as they apply to broker-dealers
• FINRA Series 24 or 26 (Required within 6 months of hire)

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