Compliance Associate - Marketing
3 days ago
🏡 Remote – Anywhere in California
Description
• Focus on marketing reviews for the firm’s Broker-Dealer, RIA, and activities of our Partners. • Interact with Partners of the firm and provide guidance relating to their website, UI, App, and other marketing materials • Assist with leveraging technology to enhance the automation of compliance • Draft broker-dealer and RIA policies and procedures • Draft and ensure we develop proper internal control procedures relating to Marketing reviews, Partner Compliance, and other areas. • Assist with responding to regulatory inquiries while explaining complex workflows clearly and concisely • Strong analytical ability to research client complaints, draft correspondence to regulators and customers, and make related filings • Effective identification and internal reporting of operational, financial, and regulatory risks • Conduct marketing and advertising reviews to ensure they comply with FINRA rules • Oversee individual and firm registrations with FINRA and the SEC • Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered and NRFs" for the broker-dealer
Requirements
• FINRA Series 7 & 24 required • 2+ years experience reviewing marketing materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Marketing Department • 5+ years financial services experience with a Broker Dealer and/or RIA • Experience drafting policies and procedures • Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important • Knowledgeable of financial markets and investing • Experience with systems such as Red Oak and Global Relay is a plus • College degree preferred • Knowledge of trading desk and back office mechanics - equity securities a must, treasuries / options nice to have
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