Senior Manager, Compliance
Acorns
Compliance Advisor, Advertising Review
FINRA
full-time
Posted on:
Location: Massachusetts • 🇺🇸 United States
Visit company websiteSalary
💰 $90,000 - $110,000 per year
Job Level
Mid-LevelSenior
About the role
- Reviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policy
- Serving as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer creative alternatives
- Contributing to high-priority projects on an as-needed basis
- Participating in team discussions on rule and policy interpretation and regularly contributing to process improvements
Requirements
- 3+ years of compliance or financial services experience
- Understanding of FINRA and SEC advertising regulations
- FINRA Series 7 and 24 securities registrations required; option to take additional exams
- College degree required
- Strong customer service skills
- Ability to consistently apply a high level of attention to detail
- Excellent communication skills, both written and oral
- Effective time management and organizational skills; ability to work well independently and adept at conforming to shifting priorities, demands, and timelines
- Ability to provide thoughtful feedback
- Creative problem solver
- Ability to stay up to date on evolving industry regulations and firm policies
