Regulatory Compliance Associate - FINRA Focused

Pure Search; New York (NY); On-site; USD 90,000 - 140,000; Full time

Job summary

Pure Search in New York seeks a compliance professional to review marketing and investor communications, monitor external messaging, and support regulatory filings and licensing for regulated personnel. You will help license and register regulated personnel and develop, update and implement compliance policies and procedures.

The ideal candidate has 2–4 years in financial-services compliance, knowledge of FINRA rules and the Investment Advisers Act, Series 7/24 or willingness to obtain them,

Qualifications

• 2–4 years of financial-services compliance experience.
• Knowledge of FINRA rules and the Investment Advisers Act.
• Series 7 and 24 licenses, or willingness to obtain them.
• Strong written and verbal communication skills.
• Excellent attention to detail and problem-solving ability.

Responsibilities

• Review marketing materials and investor communications
• Review external communications, including press releases and social media content
• Conduct electronic communications surveillance
• Prepare and support regulatory filings
• Support licensing and registrations for regulated personnel
• Develop, update and implement compliance policies and procedures
• Support and execute compliance monitoring and testing
• Develop and deliver employee training and administer the electronic training platform
• Monitor regulatory developments and assess their potential impact on the business

Skills

Regulatory compliance

FINRA rules knowledge

Communication skills

Independent work

Job description

Pure Search in New York seeks a compliance professional to review marketing and investor communications, monitor external messaging, and support regulatory filings and licensing for regulated personnel. You will help license and register regulated personnel and develop, update and implement compliance policies and procedures.

The ideal candidate has 2–4 years in financial-services compliance, knowledge of FINRA rules and the Investment Advisers Act, Series 7/24 or willingness to obtain them,