Compliance Consultant

Job Description: • Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners. • Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials • Assist with leveraging technology to enhance the automation of compliance • Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices • Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas. • Assist with the development and delivery of compliance training programs for employees • Assist with regulatory filings, audits, and examinations as needed • Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings • Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks • Manage and oversee third-party due diligence processes for vendors and business partners • Oversee individual and firm registrations with FINRA and the SEC • Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer • Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments. Requirements: • FINRA Series 7 & 24 required • 3-5 years financial services experience with a Broker Dealer and/or SEC registered investment advisor • 2+ years experience reviewing marketing and advertising materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Advertising Regulation Department • 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 Benefits: • Equal opportunity employer that values the benefits of diversity • Prohibits discrimination and harassment Apply tot his job