Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $95,000 per year
- Eligibility for an annual discretionary bonus and competitive benefits package
- Opportunity for career advancement and growth within the organization
- Flexible work environment that supports a "Work Smart" philosophy
- Collaborative and empowering workplace culture

What to Expect (Job Responsibilities):
- Review and approve various product and fund communications for compliance with SEC and FINRA regulations
- Coordinate with the Marketing department and other internal teams to ensure regulatory compliance in communications
- Assist in the development and implementation of internal policies and procedures
- Provide training to employees on compliance-related policies and procedures
- Maintain records of approved advertising and marketing materials in accordance with SEC rules

What is Required (Qualifications):
- 1-3+ years of compliance experience in financial services
- Experience with investment company and investment adviser marketing/advertising review
- Series 6/26 or Series 7/24 licenses
- Bachelor's Degree in a relevant field
- Strong understanding of FINRA and SEC rules related to advertising and sales communications

How to Stand Out (Preferred Qualifications):
- Familiarity with cryptocurrencies, tokenized funds, and SEC registered investment adviser and broker/dealer compliance programs
- Excellent critical thinking and interpersonal skills
- Proven ability to prioritize a high volume of activities

#FinancialServices #Compliance #CareerOpportunity #CompetitivePay #WorkSmart

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