Regulatory Compliance Associate

Key Responsibilities: Review marketing materials, investor communications, press releases and social media content Conduct electronic communications surveillance Prepare and support SEC and FINRA regulatory filings Support licensing and registrations for regulated personnel Develop, update and implement compliance policies and procedures Execute compliance monitoring and testing Develop and deliver employee training Administer the firm’s electronic compliance training platform Monitor regulatory developments and assess their impact on the business Requirements 2 - 4 years of compliance experience within financial services Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms Hands-on marketing and communications review experience Working knowledge of FINRA rules and the Investment Advisers Act Series 7 and 24 licenses, or willingness to obtain them within six months Strong judgment, problem-solving and communication skills Ability to work independently and manage multiple responsibilitiesA collaborative and adaptable approach suited to a lean team