Investment management firm is seeking a Compliance Specialist to focus on compliance reviews of sales and marketing materials ensuring that they meet regulatory requirements and also lead department projects. Areas of responsibility include collaborating and guiding the development of marketing communications (campaigns, web design, and social media); review broker/dealer and investment advisor materials to ensure compliance with FINRA and SEC regulations; and keep abreast of regulatory developments as they impact sales/marketing collateral. The Compliance Specialist must have a Bachelor’s degree and one year of compliance/financial services experience; Series 7 and 24 licenses preferred; excellent writing/communication skills; and a passion to work in the Legal and Compliance field. Great opportunity so apply today!
Job Code: 16559
Please note that quoted salary ranges are not guarantees of what the final salary offers might be. Our clients base their offers on a range of variables including years of work and industry specific experience, salary history, education level, etc.