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Senior Compliance Associate - CA Licensed
A company is looking for a Senior Compliance Associate, Compliance Operations - Marketing and Advertising Compliance. Key Responsibilities Conduct thorough reviews of marketing and advertising materials to ensure compliance with regulatory requirements Monitor regulatory developments and maintain internal policies and procedures related to marketing compliance Provide advisory and strategic guidance on compliance-related inquiries and training for stakeholders Required Qualifications BA/BS degree 4+ years of relevant experience FINRA Series 7 (required) FINRA Series 24 (preferred) Willingness to obtain other registrations and/or licenses as necessary
A company is looking for a Senior Compliance Associate, Compliance Operations - Marketing and Advertising Compliance.
Key Responsibilities
Conduct thorough reviews of marketing and advertising materials to ensure compliance with regulatory requirements
Monitor regulatory developments and maintain internal policies and procedures related to marketing compliance
Provide advisory and strategic guidance on compliance-related inquiries and training for stakeholders
Required Qualifications
BA/BS degree
4+ years of relevant experience
FINRA Series 7 (required)
FINRA Series 24 (preferred)
Willingness to obtain other registrations and/or licenses as necessary