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Job

FINRA Marketing & Communications Compliance Officer

A Financial services client of ours in the Los Angeles area is looking for a FINRA Marketing & Communications Compliance Officer to join the team.

This role is both unique and integral as the firm is growing right now and you would have daily interaction with the CCO and CEO! 

Job requirements:

  • Supporting the Chief Compliance Officer by administering marketing and communications reviews in accordance with Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements.
  • To work closely with internal teams to thoroughly review marketing and communications materials.
  • Edit and review marketing and communications materials.
  • Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues.
  • Proven ability to lead, organize, and administer marketing and communications review processes.
  • Ensure compliance with SEC, FINRA and other applicable rules and regulations.
  • Executing industry best practices for monitoring fund and adviser service providers including due diligence and oversight 
  • Preparing and updating regulatory documents, including Form ADV, prospectus, statement of additional information, Form BR, and others as needed
  • Assisting with the 206(4)-7 and 38(a)-1 annual review process 
  • Providing advice and guidance to marketing and growth teams for financial promotions 
  • Filing all financial promotions with FINRA
  • Providing guidance to product teams on AML/KYC/CIP requirements for all investment, brokerage, and banking products 
  • Conducting regular compliance monitoring reviews 

What You'll Bring

  • Finance related B.A. Degree 
  • 3+ years’ experience working in a compliance team at an investment adviser and/or broker dealer
  • FINRA Series license’s 7, 24 and 63 (MUST HAVE)
  • Strong understanding of banking and investment product
  • Strong analytical skills with attention to detail
  • Interest in FinTech and working in a fast paced startup environment

If this opportunity interests you please get in touch ASAP as interviews are commencing this week and next.