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finra generative ai ai tools regulatory compliance smarsh📋 Description
- Own broker-dealer communications reviews per FINRA Rule 2210.
- Own registered person oversight responsibilities, including supervision.
- Provide compliance coverage across cross-functional areas.
- Support compliance advisory for product and business priorities.
- Contribute to governance activities including board reporting and policy maintenance.
- Assist with regulatory examinations, including document production.
🎯 Requirements
- 5+ years broker-dealer compliance or supervisory experience.
- Active FINRA Series 7 and 24 and Series 63 registrations (preferred) or within 120 days.
- Proficient with AI tools; daily generative AI use; assess outputs for risk.
- Familiarity with Smarsh or similar surveillance platforms.
- Experience supporting or responding to FINRA or SEC examinations.
- Excellent written communication for regulatory responses and governance docs.
- Comfort operating in fast-paced env; own outcomes across multiple workstreams.
- Intellectual curiosity and bias toward experimentation with AI tools.
🎁 Benefits
- Remote work options.
- Medical insurance.
- Flexible time off.
- Retirement savings plans.
- Modern family planning.
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