Remote Regulatory Compliance Director

Job Summary

A financial services company needs applicants for an opening for a Remote Regulatory Compliance Director.

Individual must be able to fulfill the following responsibilities:

• Support the Chief Compliance Officer by maintaining regulatory compliance due diligence required by FINRA
• Maintain the Firm’s WebCRD, respond to regulatory information requests and inquiries & document self-reported complaints under FINRA 4530
• Document and organize outside business activities, outside brokerage accounts, private securities transactions & annual compliance questionnaires

Required Skills:

• B.A. in finance, economics or related field
• 5+ years experience working in legal or compliance at an investment adviser and/or broker dealer
• 2+ years reviewing and approving advertising/marketing materials concerning FINRA Rules 4530 and 3110
• Experience working with WebCRD and the FINRA gateway
• Series 7, 24 and either 63 or 66 licenses
• Strong understanding of the 1940 Investment Company Act