Job Description

The Marketing Compliance Associate reviews and approves the firm’s retail communications for marketing and advertising initiatives, ensuring compliance with FINRA, SEC, NFA, and CFTC regulations. This role involves coordinating with the Director of Marketing Compliance, maintaining policies and procedures, and providing training and guidance.

Responsibilities

• Review marketing and advertising communications for compliance
• Maintain relevant policies and procedures
• Maintain record inventory
• Incorporate regulatory changes into procedures
• Provide compliance support
• Provide training and guidance

Requirements

• Active Series 7, 24, and 63 licenses
• Understanding of FINRA and NFA rules
• Understanding of various asset classes
• Effective communication skills
• Ability to work independently and collaboratively
• Strong integrity and professional ethics
• 2-3 years of broker-dealer industry experience
• Undergraduate degree

Benefits

• No benefits