Compliance Advisor

Job Summary

A company is looking for a Compliance Advisor.

Key Responsibilities:

• Provide guidance and advice on policies and regulations to operations, customer service, and other business teams
• Research and respond to regulatory inquiries, exams, audits, complaint resolution, and customer inquiries
• Review advertising and marketing materials for compliance with FINRA and SEC regulations

Required Qualifications:

• FINRA Series 7 and 24 certifications
• 3-5 years of compliance experience in the financial industry
• In-depth knowledge of brokerage business, trading, operations, and regulatory and financial reporting
• Experience with reviewing firm public/retail communications
• Strong SQL and Tableau skills