FINRA Licensed Compliance Consultant
Job Summary
Ensuring regulatory compliance for complex clients' marketing materials, the full-time FINRA Licensed Compliance Consultant will work independently to review and approve investment company and private placement materials while collaborating with various departments and regulatory agencies, with the option for remote work.
Key responsibilities
- Review and approve investment materials for compliance with regulatory requirements
- Monitor compliance with FINRA/SEC standards and provide guidance to clients and internal teams
- Participate in client onboarding meetings and train client staff as needed
Required qualifications
- Bachelor's degree, preferably 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
Complete Job Description
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