Senior Advertising Compliance Leader — FINRA/SEC Expert

TechMagic with Cathy Hackl; Denver (CO); Presencial; USD 80.000 - 115.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Competitive benefits package

Paid parental leave

Life and disability insurance

401(k) with employer match

Unlimited paid time off

Tuition reimbursement

On-site gym and yoga

Flexible work environment

Collaborative culture

Descripción de la vacante

Paralel Technologies LLC seeks a Senior Distribution Compliance Principal to lead marketing review for asset-management clients, ensuring FINRA/SEC compliance and risk management. This client-facing role requires deep regulatory knowledge and the ability to translate rules into practical guidance.

The position emphasizes shaping scalable compliance practices in a technology-driven environment, with a Bachelor’s degree and Series 24 license required.

Formación

• Active Series 24 license and marketing review experience.
• Strong understanding of securities laws and regulations.
• Ability to manage multiple priorities under deadlines.
• Excellent attention to detail and clear communication.

Responsabilidades

• Review and approve marketing communications across channels for FINRA/SEC compliance.
• Apply FINRA and SEC requirements to new products and distribution concepts.
• Partner with asset management clients as a trusted compliance advisor.
• Develop and refine compliance workflows and training materials.

Conocimientos

Series 24 license

Marketing review experience

Securities regulatory knowledge

Communication skills

Educación

Bachelor’s degree

Descripción del empleo

Paralel Technologies LLC seeks a Senior Distribution Compliance Principal to lead marketing review for asset-management clients, ensuring FINRA/SEC compliance and risk management. This client-facing role requires deep regulatory knowledge and the ability to translate rules into practical guidance.

The position emphasizes shaping scalable compliance practices in a technology-driven environment, with a Bachelor’s degree and Series 24 license required.