Compliance Specialist, FINRA Licensed

Job Summary

To support investment banking and private markets operations, the full-time Compliance Specialist, FINRA Licensed, will review and approve communications, conduct electronic communications surveillance, and ensure compliance with FINRA and SEC regulations while working remotely.

Key responsibilities

• Review and approve various communications, including advertisements and social media content, ensuring compliance with FINRA and SEC rules
• Conduct surveillance of electronic communications and social media postings of registered personnel, documenting findings and escalating issues as necessary
• Maintain accurate records and logs in accordance with regulatory requirements, serving as a compliance resource for investment bankers and marketing staff

Required qualifications

• Minimum of 3 years of experience in reviewing and approving marketing materials within the financial industry, preferably at a broker-dealer
• Working knowledge of FINRA and SEC communications rules and standards
• Familiarity with supervising electronic communications and social media in a financial context
• Basic understanding of broker-dealer compliance, including supervision and recordkeeping
• Ability to manage a steady queue of reviews and alerts in a fast-paced environment