Description

You will lead product and marketing compliance for a FINRA-member broker-dealer and SEC-registered investment adviser, serving as a strategic partner on new initiatives and overseeing communications reviews. You will also manage the employee compliance program and support broader regulatory efforts, balancing strong oversight with innovation and growth.

Requirements

• 7+ years of hands-on compliance experience at a broker-dealer and investment adviser, with emphasis on product and/or marketing compliance
• Investment adviser compliance experience strongly preferred
• Prior experience in fintech or high-growth financial services strongly preferred
• Strong knowledge of FINRA and SEC rules with sound judgment
• Bachelor's degree in relevant field
• Series 7 and Series 24 required; Series 4 preferred or within 90 days
• Technologically savvy
• Excellent communication and ability to influence and build trust
• Resilience and creative problem-solving

Responsibilities

• Lead key elements of regulatory compliance programs for FINRA-member broker-dealer and SEC-registered investment adviser
• Serve as strategic compliance partner on new product initiatives, setting guardrails and making risk-based determinations
• Act as subject matter expert on product and marketing compliance under SEC and FINRA rules
• Oversee review and approval of product-specific communications, disclosures, and materials across web and app platforms
• Lead the employee compliance program including licensing, registration, continuing education, issue remediation, and onboarding
• Support ad-hoc initiatives aligned with evolving business priorities
• Serve as escalation point for complex compliance matters, providing guidance and mentorship
• Drive development, implementation, and monitoring of compliance policies and procedures
• Identify, assess, and escalate emerging compliance risks and recommend enhancements