FINRA Licensed Compliance Consultant

A company is looking for a Compliance Consultant to support broker-dealer and registered investment adviser operations.

Key Responsibilities

Conduct and document marketing and advertising reviews for compliance

Provide regulatory guidance and training to business partners regarding marketing materials

Assist with compliance training programs, regulatory filings, and risk assessments

Required Qualifications

FINRA Series 7 & 24 required

3-5 years of financial services experience with a Broker Dealer and / or SEC registered investment advisor

2+ years of experience reviewing marketing and advertising materials

Experience drafting compliance policies and procedures

College degree preferred