Compliance Principal
2 weeks ago
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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denver, United States Dalmore Group Full timeJob 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...
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denver, United States Dalmore Group Full timeJob 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...
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