Brokerage Communications Specialist
Core
Manage the full lifecycle of regulatory mass customer communication campaigns for broker-dealer and affiliated entities, including drafting notices, validating delivery, and maintaining audit evidence.
Role type
Senior IC regulatory communications specialist
Builds
Compliant customer-facing regulatory notices and mass communication campaigns
Domain
Financial services / Regulatory compliance
Required skills
Series 7 license, Series 24 license, regulatory compliance knowledge, project coordination, written communication, data analysis, attention to detail
Preferred skills
experience with AI-powered tools, relationship management
Technologies
AI-powered tools, data reporting tools
Responsibilities
Define project scopes and timelines for regulatory communication campaigns; participate in 24/7 on-call rotation for urgent messaging; validate delivery of trade confirmations and statements; maintain delivery evidence for audits; partner with Compliance, Legal, and Leadership on regulatory projects.
Seniority
Mid-level, hands-on IC