Regulatory Compliance Officer

Job Summary

A company is looking for a Regulatory, Product and Marketing Compliance Officer.

Key Responsibilities

• Assist in regulatory examinations and inquiries, identifying and mitigating risks
• Support product teams with compliance on customer-centric product development and regulatory analysis
• Manage advertising and marketing compliance, collaborating with various internal stakeholders

Required Qualifications

• FINRA Series 7 and 24 required; Series 65 or 66 must be obtained within 90 days
• 7+ years of regulatory compliance experience in Fintech, SEC Registered Investment Adviser, or Broker Dealer
• 4+ years of people management experience with strong leadership skills
• Bachelor's or advanced degree in a related field
• Extensive experience with SEC and FINRA rules, particularly FINRA Rule 2210 and the SEC Marketing Rule