Related skills
aml finra edgar gips n-px📋 Description
- Assist in ongoing implementation of the Compliance Program
- Conduct proactive surveillance to detect issues
- Maintain the anti-money laundering program
- Review and approve marketing materials
- Support inquiries from internal partners on compliance
- Identify compliance vulnerabilities and implement corrective actions
🎯 Requirements
- Bachelor's degree in related discipline
- 3-5 years' experience with investment adviser/broker-dealer compliance
- Knowledge of FINRA, SEC and Investment Adviser’s Act of 1940
- Licenses: Series 7, 24, 63 and 65 or 66
- Experience reviewing complex marketing materials
- Experience with EDGAR and industry platforms (Hadrius, QuestCE, WebCE)
🎁 Benefits
- Medical, dental, vision coverage
- Health Savings Account and FSAs
- Generous 401(k) with company match
- Flexible working arrangements
- Paid time off and holidays
- Equity Purchase Program
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