FINRA Licensed Compliance Consultant

Job Summary

Ensuring the regulatory compliance of marketing materials for complex fund and advisory clients, the full-time FINRA Licensed Compliance Consultant will work independently to review and approve client materials while interacting with regulatory agencies and internal teams, with the flexibility to work remotely.

Key responsibilities

• Review and approve investment company and private placement materials for compliance with regulatory requirements
• Monitor compliance with FINRA/SEC standards and provide guidance to clients and staff on advertising review matters
• Train client staff and participate in onboarding meetings for new clients

Required qualifications

• Bachelor's degree, preferably with an emphasis in finance
• Minimum 3 years of related compliance experience
• Thorough understanding of SEC and FINRA advertising rules
• FINRA Series 7 and Series 24 licenses are required