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Regulatory Compliance Officer
A company is looking for a Regulatory, Product and Marketing Compliance Officer. Key Responsibilities Assist in regulatory examinations and inquiries, identifying and mitigating risks Support product teams with compliance on customer-centric product development and regulatory analysis Manage advertising and marketing compliance, collaborating with various internal stakeholders Required Qualifications FINRA Series 7 and 24 required; Series 65 or 66 must be obtained within 90 days 7+ years of regulatory compliance experience in Fintech, SEC Registered Investment Adviser, or Broker Dealer 4+ years of people management experience with strong leadership skills Bachelor's or advanced degree in a related field Extensive experience with SEC and FINRA rules, particularly FINRA Rule 2210 and the SEC Marketing Rule
A company is looking for a Regulatory, Product and Marketing Compliance Officer.
Key Responsibilities
Assist in regulatory examinations and inquiries, identifying and mitigating risks
Support product teams with compliance on customer-centric product development and regulatory analysis
Manage advertising and marketing compliance, collaborating with various internal stakeholders
Required Qualifications
FINRA Series 7 and 24 required; Series 65 or 66 must be obtained within 90 days
7+ years of regulatory compliance experience in Fintech, SEC Registered Investment Adviser, or Broker Dealer
4+ years of people management experience with strong leadership skills
Bachelor's or advanced degree in a related field
Extensive experience with SEC and FINRA rules, particularly FINRA Rule 2210 and the SEC Marketing Rule