Risk and Compliance Specialist

3 days ago


Philadelphia, Pennsylvania, United States Top Stack Full time
Compliance Professional for Broker-Dealer Activities

Top Stack is seeking a detail-oriented compliance professional to support regulatory and compliance functions, including managing broker-dealer activities and distribution efforts. This role focuses on ensuring compliance with various regulatory frameworks while assisting in key compliance initiatives.

Key Responsibilities:
  • Oversee the compliance framework for broker-dealers and registered representatives.
  • Review marketing materials for adherence to SEC, FINRA, and internal policy requirements.
  • Manage compliance issues with multiple teams.
  • Collaborate on AML efforts and ensure KYC compliance.
  • Analyze regulatory changes and assess the broker-dealer compliance program's effectiveness.
  • Support regulatory responsibilities and ensure adherence to compliance frameworks.
Requirements:
  • Bachelor's Degree Required.
  • 1+ year of related experience within the investment management industry.
  • Series 7 license is required.
  • Strong knowledge of US Financial Regulations and Compliance Procedures.


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