Compliance Marketing Review Specialist
3 weeks ago
Key Responsibilities:
- Assist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements
- Proofread and review marketing materials to ensure compliance with applicable regulatory requirements
- Assist with FINRA registration requirements for the broker dealer and its registered representatives
- Maintain accurate and complete books and records
- Conduct testing to monitor compliance with established procedures
- Review mutual fund disclosure documents for consistency with regulatory requirements
- Under the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representatives
- Participate in assessments of new rules and regulations
- Participate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment products
- Bachelor's degree or commensurate work experience
- At least two years of experience at a broker-dealer, investment adviser or regulatory agency preferred
- FINRA License Series 7 and 63 preferred (Required within 6 months of hire if not already obtained)
- Working knowledge of the federal securities laws as they apply to broker-dealers preferred
- Exceptional proofreading skills and attention to detail
- Excellent organizational skills
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Compliance Analyst
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Marketing Compliance Analyst
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Tax Compliance Specialist
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Irving, Texas, United States Resolute Investment Managers (parent company of American Beacon Advisors) Full timeResolute Investment Managers, a diversified asset management platform, seeks a Compliance Analyst to implement procedures and controls for Resolute Investment Distributors, Inc. and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements.The ideal candidate will assist the Broker Dealer, CCO in developing compliance...
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Sanctions Compliance Specialist
4 weeks ago
Irving, Texas, United States MUFG Full timeMake a meaningful impact in the world of finance!Mitsubishi UFJ Financial Group (MUFG) is seeking a highly skilled Sanctions Analyst to join our team. As a key member of our Global Sanctions Compliance Department, you will play a critical role in supporting the implementation of latest sanctions policy requirements across MUFG, including within other regions...
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