Related skills
compliance training finra broker-dealer audits📋 Description
- Review communications across print, email, appearances, websites, and social media.
- Facilitate filings with FINRA, the SEC, and various states.
- Facilitate compliance procedures for all public communications.
- Support compliance training for new hires and annual programs.
- Assist with audits of controls and policy revisions due to regulatory changes.
- Maintain advertising review systems and books/records.
🎯 Requirements
- Bachelor's degree or equivalent experience.
- FINRA Series 7 and 24 licenses required.
- 5+ years compliance experience in investment products or asset management.
- Knowledge of FINRA and SEC rules regarding investment product marketing.
- Familiarity with investment adviser/broker-dealer compliance; 40 Act funds a plus.
- Proficient in understanding fund offering documents and legal documents.
🎁 Benefits
- Medical, dental, and vision plans
- Health Savings Account with employer contribution
- Company-paid life and disability insurance
- 401(k) with company match
- Paid time off including vacation, holidays, sick leave
- Up to 16 weeks of Paid Parental Leave
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