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 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


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