Employer Industry: Investment Services

Why consider this job opportunity:
- Salary up to $144,000 USD plus equity
- Comprehensive benefits package including medical, vision, dental, 401K plan, and generous time off
- Opportunity for professional development and wellness reimbursements
- Engage in a mission-driven company that aims to reshape the financial industry
- Work collaboratively with diverse teams across various departments

What to Expect (Job Responsibilities):
- Conduct thorough reviews of marketing and advertising materials to ensure compliance with SEC and FINRA regulations
- Provide clear and timely feedback to stakeholders regarding compliance alignment
- Monitor regulatory developments and maintain updated policies and procedures
- Own projects related to compliance inquiries and provide strategic guidance for marketing initiatives
- Collaborate with various teams to foster a culture of compliance and manage non-compliance documentation

What is Required (Qualifications):
- BA/BS degree
- Minimum of 4 years of relevant experience
- FINRA Series 7 license (required)
- Willingness to obtain other registrations and/or licenses as necessary
- Strong working knowledge of SEC, FINRA, and MSRB rules applicable to communications with the public

How to Stand Out (Preferred Qualifications):
- FINRA Series 24 license
- Experience with broader financial services, including investment advisory and banking
- Strong technical writing background related to content creation in marketing and compliance
- Proven ability to communicate effectively and influence outcomes at multiple organizational levels
- Familiarity with various financial products, including mutual funds and ETFs

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