Compliance Communications Senior Specialist

📋 Description

• Review and approve public communications (CwP) for regulatory compliance.
• Partner with product and marketing teams on content.
• Advise on adherence of communications to guidelines.
• Develop and implement process improvements for quality/scale.
• Improve efficiencies and processes within the team.
• Align compliance strategy across stakeholders.
• Guide internal customers on compliance for projects.

🎯 Requirements

• Bachelor's Degree.
• FINRA Series 7 & 24; Series 4 optional, aim within 120 days.
• 6+ years in compliance with project leadership.
• Experience with advertising review tools: Red Oak, Saifr, PerformLine.
• Deep FINRA rules knowledge (2210/2220) and SEC books-and-records.
• Registered principal reviewing public communications (CwP) for high-risk topics.
• Able to manage multiple priorities in a fast-paced environment.
• Strong written/verbal, strategic, negotiation, detail-oriented.
• Experience in financial services compliance, audit, risk, marketing or comms.

🎁 Benefits

• Challenging, high-impact work to grow your career.
• Performance-based pay with bonuses, equity, and 401(k) matching.
• 100% paid health insurance for employees, 90% for dependents.
• Lifestyle wallet for wellness and learning.
• Employer-paid life and disability insurance and fertility benefits.
• Paid time off, holidays, sick leave, parental leave, and more.
• Exceptional office experience with catered meals and events.