Compliance Officer: Advertising and Marketing Review
3 weeks ago
The Role: We are seeking an experienced Compliance Manager to join our team in Jersey City, NJ. As a key member of our compliance team, you will be responsible for overseeing and reviewing retail communications to ensure compliance with applicable laws, firm policies, and FINRA and SEC regulations.
Your Responsibilities:
- Oversight and review of retail communications to ensure compliance with applicable laws, firm policies, and FINRA and SEC regulations.
- Providing strategic guidance and clear explanations on required changes to retail communications, supporting submitters in understanding compliance standards.
- Timely completion of all reviews and assignments within established service level agreement timeframes.
- Leading social media surveillance efforts, identifying and analyzing potential risks in public communications.
- Conducting thorough reviews of internal and external communications to detect red flags or risks to the firm.
- Evaluating and enhancing departmental policies and procedures, recommending improvements to strengthen compliance frameworks.
- Representing the compliance team in regulatory and internal examinations as needed.
- Oversight or support of ad hoc tasks and projects, providing expertise on complex compliance issues.
Requirements:
- Bachelor's degree preferred, or an equivalent combination of education, training, and experience.
- 8+ years of compliance experience within an online retail broker-dealer, with a focus on advertising and marketing compliance.
- Required FINRA Licenses: Series 7, 63, 4, and 24.
- Experience with Crypto products marketing review is a plus.
- Strong business acumen, with an ability to approach tasks strategically from a business perspective.
- Strong regulatory relationships with the ability to maintain positive interactions with regulatory bodies.
- Excellent communication skills, with the ability to engage effectively with supervisors and global offices.
- Strong analytical skills for identifying potential compliance issues, assessing regulatory risks, and recommending effective solutions in a dynamic environment.
- Proven ability to prioritize tasks and multitask effectively under pressure, with excellent organizational and time management skills.
- Experience with Red Oak and Smarsh compliance software is a plus.
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