EXTERNAL CLIENT ROLE
- 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
- 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