Senior Compliance Product Manager

Job Summary

A company is looking for a Senior Product Compliance Manager to provide strategic compliance leadership across the product lifecycle governance.

Key Responsibilities

• Provide compliance guidance from product concept through post-launch oversight
• Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products
• Review and advise on product marketing materials to ensure compliance with SEC, FINRA, and DOL rules

Required Qualifications

• Bachelor's degree or equivalent experience (advanced degree preferred)
• 10+ years of financial services compliance experience focused on product development and oversight
• FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines
• Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations
• Proven experience reviewing marketing materials for regulatory accuracy and fairness