Pure Search
Key responsibilities:
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Review marketing materials and investor communications
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Review external communications, including press releases and social media content
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Conduct electronic communications surveillance
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Prepare and support regulatory filings
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Support licensing and registrations for regulated personnel
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Develop, update and implement compliance policies and procedures
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Support and execute compliance monitoring and testing
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Develop and deliver employee training and administer the electronic training platform
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Monitor regulatory developments and assess their potential impact on the business
Ideal Profile:
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2 – 4 years of relevant financial-services compliance experience
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Direct compliance experience supporting a registered broker-dealer, or adjacent platforms
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Working knowledge of FINRA rules and the Investment Advisers Act
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Broad compliance experience and the ability to manage multiple responsibilities within a lean team
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Strong written and verbal communication skills
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Excellent attention to detail, judgment and problem-solving ability
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Collaborative, adaptable and able to work independently with minimal supervision
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Series 7 and 24 licenses, or willingness to obtain them
