Communications Compliance Specialist, eComm Surveillance

Finalis; United States; Remote; USD 80,000 - 120,000; Full time

Benefits offered by this job

Generous Paid Time Off

Additional Flex Days

Benefits Package (Healthcare, Medical,

Vision, Dental, 401k

Paid Family Leave

Diverse and inclusive culture

Job summary

Finalis is seeking a Compliance Specialist to review and approve public communications and surveil electronic communications for registered personnel. You will ensure FINRA/SEC requirements are met across pitch materials, marketing content, social media posts, emails and messages, with thorough documentation of every review and approval.

You will partner with investment bankers, marketing and business teams to translate complex regulations into practical guidance, maintain records, and stay

Qualifications

• Minimum of 3 years of experience reviewing and/or approving marketing materials for a financial industry firm.
• Familiarity with FINRA and SEC rules and the fair, balanced, not misleading standard.
• Experience with electronic communications supervision and regulatory filings.

Responsibilities

• Review and approve advertisements, sales literature, websites and social content under FINRA rules.
• Evaluate content for fair presentation, substantiated claims and required disclosures.
• Determine filing/pre-approval requirements and prepare communications filings.
• Review electronic communications of registered personnel in line with supervisor procedures.
• Triage alerts from surveillance tools and escalate potential issues.
• Document each review and follow up until the matter is closed.
• Prepare periodic surveillance reports and trend summaries for the CCO.

Skills

Compliance review

FINRA rules knowledge

SEC rules knowledge

Social media surveillance

Recordkeeping understanding

Job description

Finalis is seeking a Compliance Specialist to review and approve public communications and surveil electronic communications for registered personnel. You will ensure FINRA/SEC requirements are met across pitch materials, marketing content, social media posts, emails and messages, with thorough documentation of every review and approval.

You will partner with investment bankers, marketing and business teams to translate complex regulations into practical guidance, maintain records, and stay