Senior Compliance Associate: Advertising & Communications

LHH; Sheridan (IN); Hybrid; USD 70,000 - 90,000; Full time

Benefits offered by this job

Employer-paid health insurance

Discretionary profit-sharing contribution to 401(k)

401(k) with 1:1 match up to 5%

Onsite gym and café

Onsite childcare

Job summary

A leading financial services organization is seeking a Senior Compliance Associate to join their experienced compliance team. This newly created role focuses on advertising and communications compliance, regulatory reviews, and applying FINRA and SEC rules in a hybrid RIA/broker-dealer environment. The ideal candidate will have active FINRA qualifications, a background in the securities industry, and strong analytical skills. Benefits include employer-paid health insurance and a 401(k) match.

Qualifications

• Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP required.
• Prior experience in the securities or wealth management industry required.
• Experience reviewing advertising and marketing materials preferred.

Responsibilities

• Review and approve firm and advisor marketing materials.
• Conduct compliance reviews using industry compliance platforms.
• Provide guidance to advisors related to disclosure language.

Skills

Strong analytical skills

Technical aptitude

Sound judgment

Ability to work independently

Education

Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP

Experience in securities or wealth management industry

Job description

A leading financial services organization is seeking a Senior Compliance Associate to join their experienced compliance team. This newly created role focuses on advertising and communications compliance, regulatory reviews, and applying FINRA and SEC rules in a hybrid RIA/broker-dealer environment. The ideal candidate will have active FINRA qualifications, a background in the securities industry, and strong analytical skills. Benefits include employer-paid health insurance and a 401(k) match.