The Communications Compliance Specialist will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the Communications Compliance Specialist will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

Applications for this role will be accepted through May 30, 2024. Please connect with your recruiter for more information about this role’s application window.

What you’ll do

  • Analyze and review brokerage communications to ensure they meet regulatory requirements and Firm policy in order to ultimately provide principal approvals
  • Advise internal customers on the adherence of communications with compliance and internal guidelines
  • Guide internal customers on compliance for projects and deliverables
  • Develop and implement process improvements to increase quality and scalability
  • Monitor and keep up to date with regulations regarding communications and apply them

What you bring

  • Bachelor’s Degree, or equivalent experience, in a related field
  • FINRA Series 7, and 24 Licenses
  • 5 Years of relevant experience, 3+ years working in compliance or a relevant function
  • 2+ years of experience reviewing retail communications covering brokerage products such as stocks, exchange traded products, options, and sweep programs
  • Experience reviewing social media, video/audio, app and other online communications
  • Self-starter with ability to work independently, manage multiple priorities and adapt to a changing environment
  • Ability to effectively work with a sense of urgency and strong attention to detail
  • Excellent communication and relationship building skills and ability to articulate messages clearly and comfortably with employees at all levels

What we offer

  • Market competitive and pay equity-focused compensation structure
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Annual lifestyle wallet for personal wellness, learning and development, and more!
  • Lifetime maximum benefit for family forming and fertility benefits
  • Dedicated mental health support for employees and eligible dependents
  • Generous time away including company holidays, paid time off, sick time, parental leave, and more!
  • Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
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