Sr. Distribution Compliance Principal

Paralel Technologies; Denver (CO); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) with employer match

On-site gym

Unlimited paid time off

Tuition reimbursement

Job summary

Paralel Technologies LLC in the Denver area is seeking a Senior Distribution Compliance Principal to lead the review and approval of marketing and advertising materials for FINRA/SEC compliance in a fast-moving asset management environment.

You will partner with clients and internal teams to sharpen compliance workflows, shape scalable practices, and support regulatory examinations while maintaining high standards of risk management and professional communication.

Qualifications

• Minimum 3 years in marketing material review for FINRA-registered firms or asset managers.
• Strong knowledge of FINRA Rules, the Investment Company Act, the Securities Act, and SEC Marketing Rule.
• Ability to translate regulatory requirements into clear guidance for clients and colleagues.
• Experience partnering with sales and compliance teams in a fast-paced environment.

Responsibilities

• Review and approve communications across investment products and channels for FINRA/SEC compliance.
• Contribute to firm-wide supervisory and compliance framework development.
• Create standard materials for board meetings and provide training on advertising compliance.
• Support regulatory examinations and audits with thorough documentation.

Skills

FINRA marketing review

Regulatory compliance

Securities laws familiarity

Client communications

Team collaboration

Job description

Senior Distribution Compliance Principal

Company Overview:

Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship-driven culture to redefine the value proposition for our clients. Paralel Distributors LLC ("Paralel" or the "Firm") is a registered limited purpose broker-dealer affiliated with Paralel Technologies.

Role Overview:

Paralel is seeking an experienced Senior Distribution Compliance Principal to join a growing broker-dealer supporting a diverse and expanding asset management client base. This is a highly visible, client-facing role for a compliance professional who enjoys solving complex regulatory questions, partnering with clients, and helping shape scalable compliance practices in a technology-driven organization. The ideal candidate will be responsible for reviewing and approving marketing and advertising materials to ensure compliance with FINRA and SEC regulations, and other applicable industry standards. This role requires a deep understanding of financial product marketing, regulatory guidelines, and risk assessment to support our clients’ advertising initiatives while maintaining compliance integrity.

Job Responsibilities:

Marketing & Advertising Review

• Review and approve communications across multiple channels and investment products.
• Interpret and apply FINRA and SEC requirements to new products, marketing concepts and evolving distribution strategies.
• Serve as a trusted compliance partner to asset management clients.
• Identify opportunities to improve and automate compliance workflows.

Regulatory Compliance & Risk

• Contribute to the continued development of the firm's supervisory and compliance framework.
• Assist in the preparation of standard materials for board meetings.
• Exposure to a broad range of broker-dealer compliance and distribution activities and opportunities to expand responsibilities based on experience, interests, and the evolving needs of the business.
• Work closely with applicable teams to develop and enhance policies and procedures based on regulatory changes.
• Provide training and ongoing education to external and internal teams on advertising compliance and regulatory best practices.
• Represent or support the firm during regulatory examinations, audits and

Skills and Qualifications:

• A minimum of 3 years of experience in marketing review, preferably within a FINRAregistered broker-dealer or asset management firm
• Strong understanding of securities laws and regulations pertaining to registered products including FINRA Rules, the Investment Company Act of 1940, the Securities Act of 1933, and the SEC Marketing Rule
• Ability to thrive in a fast-paced, deadline-driven environment while managing
• Excellent attention to detail and ability to communicate complex regulatory requirements in a professional manner
• An exceptional team player with strong ability to communicate with a wide and diverse audience (both internal and external), including daily client interactions

Compensation Range:

Final compensation for this role will be determined by various factors, such as knowledge, skills, and abilities.

Other Compensation:

• Performance bonus eligible

Our benefits reflect our commitment to investing in your health, career, and future.

• Competitive medical, dental, and vision benefits with generous employer contributions
• Company-paid life and disability insurance
• Voluntary supplemental benefits to fit your needs
• 401(k) with employer match
• Unlimited paid time off and 10 paid holidays
• Tuition reimbursement to support professional growth
• On-site gym and yoga studio
• Flexible work environment
• A collaborative, values-driven culture focused on service, teamwork, and community

Application Deadline

Paralel Technologies LLC is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race,

color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran