Remote Compliance Specialist: Comms Review & eComm

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

Benefits offered by this job

Generous Paid Time Off

Flex Days

Healthcare package

Paid Family Leave

Job summary

Finalis, Inc. is seeking a Compliance Specialist, Communications Review and eComm Surveillance to support its investment banking and private markets business.

You will review and approve public communications and surveil electronic channels to ensure FINRA and SEC compliance, with careful documentation of each review, escalation and resolution. You will collaborate with investment bankers, registered personnel, and marketing teams to ensure all pitch materials, content and posts meet regulatory

Qualifications

• Minimum of 3 years of experience reviewing and/or principally approving marketing materials for a financial industry firm, preferably a broker-dealer.
• Working knowledge of FINRA and SEC communications rules and the fair, balanced and not misleading standard.
• Familiarity with surveillance tools and lexicon-based review processes, including electronic communications and social media supervision.

Responsibilities

• Review and approve advertisements, sales literature, websites, social media content, presentations and other communications under FINRA Rules 2210–2216.
• Evaluate content for fair and balanced presentation, substantiated claims, required disclosures, and performance and projection standards.
• Determine filing and pre-approval requirements and prepare communications filings.
• Review electronic communications of registered personnel in line with regulatory rules and procedures.
• Triage alerts, clear false positives, and elevate potential issues.
• Document each review, finding and resolution, and follow up until closure.
• Help tune surveillance lexicons, sampling methods and alert thresholds.
• Prepare periodic surveillance reports and trend summaries for the CCO.
• Maintain logs and documentation in line with SEC and FINRA requirements.

Skills

Regulatory knowledge

Verbal communication

Attention to detail

Discretion

Experience with eComm surveillance

FINRA/SEC rules

Tools

Surveillance tools

Job description

Finalis, Inc. is seeking a Compliance Specialist, Communications Review and eComm Surveillance to support its investment banking and private markets business.

You will review and approve public communications and surveil electronic channels to ensure FINRA and SEC compliance, with careful documentation of each review, escalation and resolution. You will collaborate with investment bankers, registered personnel, and marketing teams to ensure all pitch materials, content and posts meet regulatory