Compliance Officer - Marketing

TradeZero America; New York (NY); On-site; USD 115,000 - 190,000; Full time

Job summary

A growing broker dealer in the fintech space is seeking an experienced Compliance Officer for its New York office. The role involves assisting the Compliance Department with regulatory priorities and ensuring compliance with FINRA and SEC guidelines. The ideal candidate will have experience in compliance at a broker dealer and knowledge of advertising regulations.

Benefits

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

Qualifications

• 3+ years’ experience working in compliance at a Broker Dealer.
• Knowledge of advertising, social media rules and regulations.

Responsibilities

• Assist Compliance Department with reviewing marketing materials.
• Monitor regulatory developments and analyze rule interpretations.
• Conduct compliance reviews, audits, and information requests.

Skills

Effective communicator

Knowledge of advertising

Ability to work in a fast paced environment

Education

Series 24

Series 7

Job description

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TradeZero America, a growing broker dealer in the fintech space is seeking an experienced Compliance Officer for its New York office. The employee will report to the Chief Compliance Officer. The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulatory priorities and compliance program to ensure compliance with FINRA and SEC guidelines, rules and regulations.

Some Responsibilities:

• Retail / Institutional communications and advertising
• Press Releases
• Compliance reviews, audits and information requests
• Assist in directing the firm regulatory priorities and compliance program
• Internal communication and support for operation and development staff
• Actively monitor regulatory developments
• Research exchange rules, analyze rule interpretations
• Work with legal as needed

Qualifications:

• 3 + years’ experience working in compliance at a Broker Dealer
• Knowledge of advertising, social media rules and regulations
• Effective communicator – ability to interact well with different teams and personalities
• Work well in a fast paced environment
• Series 24 and Series 7

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Other

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

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