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Job

Advertising Compliance Manager

  • Location

    NYC

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $110,000 - $120,000

  • Contact:

    Bennett Congdon

  • Contact email:

    b.congdon@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    4 months ago

  • Expiry date:

    2022-12-19

  • Startdate:

    ASAP

A leading fintech that we have partnered with is looking for an experienced Advertising Compliance Manager to join their team and support their tremendous growth.

 

Your Responsibilities:

  • You will serve as the primary principal review of the firms securities offering material, advertising and marketing of securities, 
  • Use independent judgement and discretion to ensure marketing materials maintain regulatory compliance with Regs A+, CF, and D
  • Interact daily with marketing department staff concering advertising review matters and provide advice and guidance on resolving issues
  • Monitor and remain current on FINRA, SEC, SIPC, State and internal standards to ensure materials are conforming accordingly
  • Assist in completing regulatory examination requests and internal audits

Requirements:

  • Bachelor's Degree
  • Current holder of FINRA series 7, 24, 63
  • 3 years of experience workg with FINRA advertising regulations and FINRA WebCRD form filing experience
  • Thorough understanding of SEC, FINRA, and other complex advertising rules of private placement products
  • Strong organizational skills

 

If you or someone you know would be a good fit for this role, reach me at b.congdon@hamlynwilliams.com

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