Job Summary

• The employee will be a member of the compliance team focusing on regulatory compliance issues with respect to marketing and other investor/third-party materials and communications.
• Manage staff; supervise and train reports to conduct marketing compliance reviews.
• Develop internal policies and procedures with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures, all consistent with current regulatory guidance.

Matching Summary

Salary

$165,000 - $250,000 base; Bonus/Equity: Discretionary bonuses, potential equity; Benefits: Comprehensive health benefits, paid time off, 401(k)

Skills & Requirements

Key Requirements

• 8+ years prior experience
• Compliance role or J.D. required
• Understanding of Advisers Act
• Understanding of FINRA regulations
• Strong attention to detail
• Strong analytical skills
• Strong project management skills

Work Rights