Dalmore Group | Compliance Principal | denver, co

2 weeks ago


denver, United States Dalmore Group Full time

Job Description


The Compliance Principal uses independent judgment and discretion to ensure regulatory compliance of Regulation A+ and D offerings, and marketing materials. Responsibilities will be DSP, Accredited and non-accredited Investor Review, RR management, and any other requests within reason.



**Must have clean FINRA Series 24 licenses**


Key Responsibilities


  • Be the DSP for several Registered Representatives
  • Daily interaction with staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
  • Monitor compliance and stay current on FINRA, SEC, SIPC, State and internal standards, advising appropriate parties and ensuring materials conform
  • Assist with reviewing and recommendation or approvals on advertising-related procedures and manuals
  • Conducts self in a professional manner
  • Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules, or Company policies
  • Other tasks and duties as assigned


Qualifications (Personal, Educational, Experience)

  • Bachelor’s degree and 3+ years’ compliance or related experience
  • FINRA Series 24 required
  • Thorough understanding of SEC and FINRA and other complex advertising rules of private placement products
  • Ability to interpret rules and regulations and communicate them to others
  • Strong organization skills, including the capacity to multi-task
  • Excellent analytical, reasoning, and problem-solving skills
  • Leadership qualities for establishing a role as point-of-contact for Compliance
  • Must be friendly and easy to work with


  • denver, United States Dalmore Group Full time

    Job Description The Compliance Principal uses independent judgment and discretion to ensure regulatory compliance of Regulation A+ and D offerings, and marketing materials. Responsibilities will be DSP, Accredited and non-accredited Investor Review, RR management, and any other requests within reason.**Must have clean FINRA Series 24 licenses** Key...

  • Compliance Principal

    2 weeks ago


    Denver, United States Dalmore Group Full time

    Job Description The Compliance Principal uses independent judgment and discretion to ensure regulatory compliance of Regulation A+ and D offerings, and marketing materials. Responsibilities will be DSP, Accredited and non-accredited Investor Review, RR management, and any other requests within reason.**Must have clean FINRA Series 24 licenses** Key...

  • Compliance Principal

    2 weeks ago


    Denver, United States Dalmore Group Full time

    Job Description The Compliance Principal uses independent judgment and discretion to ensure regulatory compliance of Regulation A+ and D offerings, and marketing materials. Responsibilities will be DSP, Accredited and non-accredited Investor Review, RR management, and any other requests within reason.**Must have clean FINRA Series 24 licenses** Key...

  • Kitchen Specialist

    4 days ago


    Denver, Colorado, United States CO - Courtyard Denver Full time

    Job Title: Kitchen SpecialistAbout Courtyard DenverCourtyard Denver is a 21-person strong hospitality team in Denver, CO, seeking a skilled line cook to join our team.Responsibilities:Preparation and Service: Chop vegetables, prepare sauces, and cook menu items in cooperation with the rest of the kitchen staff.Station Management: Set up and stock stations...

  • Critical Care Nurse

    6 days ago


    Denver, Colorado, United States Kindred Hospital - Denver, CO - Scion Health Full time

    OverviewKindred Hospital - Denver, CO - Scion Health is seeking an experienced LPN - Long Term Acute Care to join their team. With a focus on delivering exceptional patient care, this role presents a unique opportunity for healthcare professionals to make a meaningful difference in the lives of others.Salary and BenefitsAs a valued member of our team, you...


  • Denver, United States Denver Health Physicians Full time

    Position OverviewDenver Health Medical Center, in collaboration with the University of Colorado School of Medicine, is seeking a dynamic and experienced leader for the position of Department Chair of Radiology. This senior faculty member will be responsible for overseeing all care delivered by the Department of Radiology at Denver Health, providing strategic...


  • Denver, Colorado, United States i9 Sports - North & West Denver, CO Full time

    Job Overviewi9 Sports - North & West Denver, CO is seeking a Youth Basketball Official to join our team. This role is responsible for enforcing rules, cultivating a positive culture, and acting as an on-field coach.Estimated Salary:$15-$18 per hourResponsibilitiesEnforce i9 Sports rules books to ensure a fun, learning, and safe environment for all...

  • Master Pet Stylist

    6 days ago


    Denver, Colorado, United States Scenthound Denver Central Park, CO Full time

    About the PositionThe Dog Groomer plays a crucial role at Scenthound, providing top-notch grooming services to clients. This position requires extensive knowledge of dog breeds, care standards, and tools of the trade.Key ResponsibilitiesGroom dogs to meet Scenthound's high standards.Deliver puppy cuts with precision and attention to detail.Create a...


  • denver, United States Adams & Martin Group Full time

    A large-scale commercial litigation law firm based in Denver, Colorado is looking for a Litigation Legal Secretary to join their team. Industry-leading compensation and comprehensive benefits offered! Responsibilities:E-filing in the state (CO) and federal courtsSupporting multiple partnersCalendaring/schedulingSupport multiple attorneys Qualifications:At...


  • denver, United States Adams & Martin Group Full time

    A large-scale commercial litigation law firm based in Denver, Colorado is looking for a Litigation Legal Secretary to join their team. Industry-leading compensation and comprehensive benefits offered! Responsibilities:E-filing in the state (CO) and federal courtsSupporting multiple partnersCalendaring/schedulingSupport multiple attorneys Qualifications:At...


  • Denver, United States City and County of Denver Full time

    About Our Job With competitive pay, , and endless opportunities, working for the City and County of Denver means seeing yourself working with purpose — for you, and those who benefit from your passion, skills and expertise.Join DEN's diverse, inclusive and talented workforce of more than 37,000 team members who are at the heart of what makes Denver,...


  • Denver, Colorado, United States Scenthound Denver Central Park, CO Full time

    Job OverviewScenthound, a leading canine care facility in Denver Central Park, CO, seeks a detail-oriented Dog Care Specialist to join its team. As a key member of our grooming crew, you will play a vital role in providing top-notch care for our furry clients.


  • Denver, United States Archway Physician Recruitment Full time

    Dermatologist needed in Denver, COFull time, PermanentGeneral DermatologistDermatology group is is seeking a full time General Dermatologist to join our highly productive group in Denver, Colorado.Experience a collegial and collaborative practice environment with dedicated partners and support staff.Details of the Opportunity:Board Eligible/Board Certified...


  • Denver, United States Kindred Hospital - Denver, CO - Scion Health Full time

    Overview:We are seeking an experienced LPN for a 13-week assignment in our Long Term Acute Care unit at Kindred Hospital in Denver, CO.Job Description:This is a travel LPN position that requires a current Colorado license and at least 2 years of recent experience in Long Term Acute Care nursing. The ideal candidate will have excellent communication skills, a...


  • Denver, Colorado, United States Tetra Tech Full time

    About Tetra TechTetra Tech is a global consulting and engineering firm that combines innovative technology with local expertise to deliver smart solutions for our clients' toughest challenges. Our team of experts in water, environment, infrastructure, resource management, energy, and international development works together to provide scalable solutions for...


  • Denver, United States Northfield Veterinary Hospital Full time

    Who we are:Join Our Team in Vibrant Denver, CO! Come be a part of our professional and dynamic team at Northfield Veterinary Hospital, nestled in the heart of the Central Park neighborhood in beautiful Denver, Colorado. We're thrilled to announce an opportunity to join our close-knit family as a fourth veterinarian. About Us: At Northfield Veterinary...


  • denver, United States Highlands Vista Group Full time

    PositionYardi Training ManagerLocationDenver, COCompany Overview:Highlands Vista Group (“HVG”) was formed in 2018 with a long‐term investment strategy in multifamily real estate. HVG cultivates a best-in-class environment where residents, employees, and investors can all grow over the long-term through a strategy of acquiring and managing apartment...


  • Denver, Colorado, United States Denver Restoration Brothers Llc, Dba All Dry Full time

    About the RoleWe are seeking an experienced Mold Remediation Specialist to join our team at Denver Restoration Brothers LLC dba All Dry in Denver, CO.Key ResponsibilitiesExecute mold remediation processes per work orders and instructions from the crew chief.Manage inventory and load the work vehicle with equipment, products, and supplies needed for each...


  • denver, United States The Mice Groups, Inc. Full time

    ReceptionistOn Site in Denver, COPay Rate: $20-$25/hourly (W2)Ideally the candidate would start by Dec 9.This is a part-time position, 32 hours a week is expectation.This is not contract to hire, but long term contract, as in I don't have an end date necessarily.We do not have parking, nor do we reimburse, so candidate is responsible for thatResponsibilities...


  • denver, United States The Mice Groups, Inc. Full time

    ReceptionistOn Site in Denver, COPay Rate: $20-$25/hourly (W2)Ideally the candidate would start by Dec 9.This is a part-time position, 32 hours a week is expectation.This is not contract to hire, but long term contract, as in I don't have an end date necessarily.We do not have parking, nor do we reimburse, so candidate is responsible for thatResponsibilities...