Senior Compliance Specialist, Advertising

This is a fully remote position, open to applicants in Colorado, +4 more states.

📋 Description

• Support the implementation and execution of the Broker-Dealer compliance program, with a focus on advertising review.

• Conduct compliance assessments in line with firm policies and regulatory standards, ensuring timely review, approval, and filing.

• Travel as necessary for off-site client office examinations.

• Carry out reviews of websites and online content.

• Assist with departmental initiatives, including annual due diligence evaluations of vendors, agreements, clients, and products.

• Aid in regulatory, internal, and third-party audits of Broker-Dealer compliance programs.

• Guide associates through training, coaching, hands-on experiences, modeling best practices, and providing advice.

• Address inquiries from clients and internal teams while aiding in issue resolution.

• Follow up with the team and internal departments regarding questions and ongoing workflows.

• Execute additional duties as assigned.

⛳️ Requirements

• Bachelor’s degree in business administration, finance, accounting, or a related field.

• Over 5 years of experience in the financial sector.

• Background in an operations or compliance role.

• Possession of FINRA Series 7 & 24 licenses.

• Equivalent education and experience may be taken into account.

• In-depth knowledge of securities regulations and compliance requirements, particularly FINRA Rule 2210 and SEC Rule 482.

• Proficient in Microsoft Office Suite.

• Skilled in Adobe Acrobat.

• Ability to effectively communicate and apply regulatory requirements both internally and to clients.

• Capability to plan and delegate tasks to others.

• Strong multitasking, analytical, and organizational skills.

• Strategic, detail-oriented, and proactive approach, demonstrating a commitment to quality, efficiency, and effectiveness.

🏝️ Benefits

• Comprehensive health insurance.

• Retirement savings plan with company match.

• Professional development opportunities.

• Flexible working arrangements.

• Paid time off and holidays.