Compliance Manager
Core
Support day-to-day compliance needs for Intermediary and Institutional Sales and Distribution business groups, focusing on product, marketing, and sales distribution initiatives.
Role type
Compliance Manager (Financial Services)
Builds
Compliance policies, regulatory impact assessments, and marketing review processes for sales and distribution.
Domain
Financial Services / Asset Management / Broker-Dealer
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
FINRA regulations knowledge, SEC/CFTC/NFA regulatory knowledge, compliance risk assessment, policy management, marketing compliance review, regulatory impact analysis
Preferred skills
FINRA Series 7/24 or 6/26, broker-dealer marketing compliance experience, FINRA exam experience
Technologies
Word, Excel, PowerPoint
Responsibilities
Act as subject matter expert for Broker-Dealer sales and distribution rules; Establish and maintain compliance culture with business partners; Assist with compliance risk assessments; Stay updated on regulatory changes and create impact assessments; Manage Intermediary Sales and Distribution policies; Review marketing and communications for regulatory compliance; Escalate regulatory interpretation questions to Legal or SMEs
Seniority
Mid-Senior, hands-on IC