Compliance Specialist, FINRA Licensed

To support investment banking and private markets operations, the full-time Compliance Specialist, FINRA Licensed, will review and approve communications, conduct electronic communications surveillance, and ensure compliance with FINRA and SEC regulations while working remotely. Key responsibilities Review and approve various communications, including advertisements and social media content, ensuring compliance with FINRA and SEC rules Conduct surveillance of electronic communications and social media postings of registered personnel, documenting findings and escalating issues as necessary Maintain accurate records and logs in accordance with regulatory requirements, serving as a compliance resource for investment bankers and marketing staff Required qualifications Minimum of 3 years of experience in reviewing and approving marketing materials within the financial industry, preferably at a broker-dealer Working knowledge of FINRA and SEC communications rules and standards Familiarity with supervising electronic communications and social media in a financial context Basic understanding of broker-dealer compliance, including supervision and recordkeeping Ability to manage a steady queue of reviews and alerts in a fast-paced environment