FINRA Licensed Compliance Consultant
Job Summary
Ensuring regulatory compliance for complex fund and advisory clients' marketing materials, the full-time FINRA Licensed Compliance Consultant will work remotely to review and approve investment materials, interact with clients and regulatory agencies, and train client staff as necessary.
Key responsibilities
- Review and approve investment company and private placement materials for compliance with regulatory requirements
- Interact daily with clients and regulatory contacts to provide guidance on advertising review matters
- Monitor compliance with FINRA, SEC, and internal standards while ensuring timely processing of workflow
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 for investment products
- FINRA Series 7 and Series 24 licenses are required
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 40,347 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
