Marketing & Advertising Compliance

Full Time



Job Responsibilities

  • Marketing & Advertising reviews
  • Draft and update policies and procedures that reflect changes in business, regulation, and developing views on issues
  • Review and approve the promotion materials.
  • Oversee risk-based-monitoring, communications review and help the firm meet other compliance requirements
  • At the direction of the CCO, participate in the annual compliance risk assessment including the implementation of corrective action plans.
  • Work closely with the internal group on initiatives as necessary

Job Requirements

  • Bachelor’s degree or higher
  • Specific knowledge of equity markets and applicable exchange rules is required
  • 5+ years of Equities compliance experience at an in-house broker-dealer Compliance Department
  • Experience in retail broker deals preferred
  • A strong work ethic and the ability to work well with others
  • Excellent written, verbal and analytical thinking skills
  • Aptitude for technical matters
  • Ability to manage multiple tasks simultaneously
  • Series 7 and Series 24 preferred

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