
Senior Marketing Compliance Specialist
3 days ago
The successful candidate will be responsible for reviewing marketing communications and presentations to ensure compliance with relevant regulatory rules and guidelines.
Key Responsibilities:
- Review and analyze marketing communications across all media types, ensuring domestic and international use aligns with regulatory standards
- Collaborate with business partners to advise on content standards and provide guidance on U.S. and international marketing regulations
- Develop a strong understanding of FINRA advertising rules and the SEC's new marketing rule
Requirements:
- Bachelor's Degree and 6+ years of relevant compliance experience
- Solid understanding of the securities industry and related regulatory requirements
- Prior marketing compliance experience, supervisory experience, and current FINRA Series 7 and Series 24 licenses
Preferred Skills:
- Excellent interpersonal and organizational skills
- Strong written and verbal communication and presentation skills
- Ability to comprehend complex regulations and apply to practical use cases
This role requires a strong attention to detail, excellent judgment, and the ability to maintain strict confidentiality. The ideal candidate will be a team player with the ability to pitch in as needed and continually improve processes by researching and implementing best practices.
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