Compliance Officer, Finance & Banking

The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.

• Review marketing material for consistency with applicable US and International regulatory standards

• Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB

• Provide consultation to internal business partners for standards of marketing review and provide guidance to align alternative product marketing materials to corporate and regulatory standards

• Train marketing staff on rules and regulations relating to marketing materials for alternative products

• Serve as a resource to internal partners with inquiries regarding business communications

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances.

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Required Skills & Experience

Bachelor's degree from a four-year college or university is preferred. Equivalent combination of education and significant relevant work experience may be considered.
Strong abilities in analytical thinking, problem solving, research, and time management
Must have excellent verbal communication and people skills
Minimum 5 years of relevant work experience with a financial institution such as a broker/dealer.
Minimum 3 years compliance experience with a broker/dealer.

Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.