FINRA

Compliance Advisor, Advertising Review

FINRA

full-time

Posted on:

Origin:  • 🇺🇸 United States • Massachusetts

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Salary

💰 $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