Compliance Specialist, Advertising

Job description

SUMMARY: The Compliance Specialist – Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review. KEY ACCOUNTABILITIES: - Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required. - May travel for off-site client office exams. - Conducts various website and internet reviews. - Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products. - Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs. WORKING RELATIONSHIPS: May perform other duties as required and assigned. - Answers client and internal inquiries and helps resolve any issues. - Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc. EDUCATION AND EXPERIENCE: - Bachelor’s degree in business administration, finance, accounting, or related field. - 2+ years of experience in the financial industry. - Experience working in an operations or...