Related skills
security finra licensing registration regulatory compliance📋 Description
- Lead regulatory compliance programs for broker-dealer and SEC-registered adviser.
- Advise on new product initiatives; set guardrails; resolve issues with senior stakeholders.
- Subject-matter expert on product and marketing compliance under SEC/FINRA; advise teams.
- Review and approve product communications across web and app.
- Lead employee compliance: licensing, registration, CE, onboarding.
- Identify, assess, escalate emerging compliance risks; enhance policies and training.
🎯 Requirements
- 7+ years hands-on compliance at broker-dealer and investment adviser.
- Investment adviser compliance experience strongly preferred.
- Tech-savvy; quick to learn modern tech stacks.
- Strong FINRA and SEC rules knowledge; practical application.
- Bachelor’s degree in a relevant field.
- Series 7 and Series 24 required; Series 4 preferred or within 90 days.
🎁 Benefits
- Hybrid work schedule for most positions.
- Offices in Culver City, CA; San Francisco, CA; Dallas, TX.
- Competitive pay and equity for eligible positions.
- Premium healthcare, dental, and vision insurance.
- 401k with a 4% match and immediate vesting.
- 16 weeks paid parental leave.
Meet JobCopilot: Your Personal AI Job Hunter
Automatically Apply to Legal Jobs. Just set your
preferences and Job Copilot will do the rest — finding, filtering, and applying while you focus on what matters.
Help us maintain the quality of jobs posted on Empllo!
Is this position not a remote job?
Let us know!