Senior Analyst Communications Compliance
Core
Review and approve complex public, retail, institutional, and internal communications for compliance with FINRA, SEC, state securities, and insurance regulations.
Role type
Senior Analyst Communications Compliance
Builds
compliant communications materials and regulatory records for broker-dealer and investment adviser affiliates
Domain
Financial Services / Securities Compliance
Deliverable
dashboards & analysis
Required skills
FINRA/SEC regulatory interpretation, communications review, policy development, regulatory examination support, compliance reporting, surveillance reviews, subject matter expertise, training delivery
Preferred skills
broker-dealer/investment adviser experience, FINRA Advertising Regulation inquiry response, policy testing, product knowledge
Technologies
Microsoft Outlook, Adobe Acrobat
Responsibilities
Review and approve complex communications for regulatory compliance; File communications materials with FINRA; Interpret FINRA and SEC regulations; Respond to internal and external regulatory inquiries; Develop and maintain compliance policies; Create and test compliance procedures; Prepare compliance reporting; Conduct surveillance reviews and investigations; Coordinate compliance programs; Serve as subject matter expert and provide training.
Seniority
Senior, hands-on IC