Tech Stack

Description

You will review and advise on parent company and enterprise-level communications, ensuring compliance with regulatory standards like FTC, SEC, FINRA, CFTC, and FCA. You'll guide internal teams, develop practical guidelines, and improve review processes to maintain high-quality compliance oversight.

Requirements

• Bachelor's degree or equivalent experience in legal or compliance within financial services
• 5+ years experience in communications compliance or related function
• Knowledge of FTC, SEC, FINRA, CFTC, FCA or similar regulatory frameworks
• Strong written and verbal communication skills
• Ability to manage multiple complex compliance projects independently

Responsibilities

• Review and advise on compliance of parent company and enterprise-level communications
• Conduct principal-level review and approval of communications against regulatory requirements
• Draft practical compliance guidelines for internal clients
• Engage internal legal counsel for appropriate legal discipline
• Develop and implement process improvements for quality and scalability