💼 About This Role

You'll lead the marketing compliance function at an innovative fintech company, managing a team of two and overseeing review of marketing materials. You'll ensure adherence to SEC and FINRA regulations while collaborating with the marketing team to achieve business goals. This role offers the chance to drive program enhancements and work with cutting-edge AI tools.

🎯 What You'll Do

• Manage and develop two direct reports
• Review marketing materials for SEC/FINRA compliance
• Partner with marketing team on initiatives
• Manage marketing review tool including AI features

📋 Requirements

• Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210
• Management experience (managing a team of two)
• Series 24 required or must obtain
• Ability to organize and prioritize in a deadline-driven environment

✨ Nice to Have

• Experience with marketing review tools
• Knowledge of Reg DD and other regulations

🎁 Benefits & Perks

• 🏥 Medical, dental, and vision insurance
• 🏖️ Flexible paid time off
• 🍽️ In-house chef at NYC headquarters
• 📚 Professional development opportunities
• 👶 Generous parental leave

📨 Hiring Process

Estimated timeline: 3-5 weeks

1. 1Application review· 1-2 weeks
2. 2Recruiter screen· 30 min
3. 3Technical assessment or case study· 1-2 hours
4. 4Final round interviews (3-4 sets)· 2-3 hours