Lead Compliance Analyst

Job Summary

A company is looking for a Lead Compliance Analyst - Advertising and Communication Review.

Key Responsibilities

• Review marketing materials and electronic communications for compliance with FINRA, SEC, and MSRB regulations
• Draft policies, procedures, and disclosures to support the firm's compliance program
• Provide training and develop relationships with various business units to enhance compliance culture

Required Qualifications

• 3-5 years of experience in Broker Dealer and/or Investment Advisory marketing and communication review
• Bachelor's degree or equivalent combination of education and business experience
• Strong knowledge of relevant FINRA and SEC regulations
• FINRA Series 7, 24, Series 65 or 66, and Series 53 (if not held, must be obtained within 90 days of hire)
• Strong computer skills, particularly with Microsoft Office products