Marketing Compliance Associate

• Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
• Help maintain relevant policies and procedures related to marketing and advertising communications
• Maintain the firm’s comprehensive record inventory and ensure compliance with firm procedures to evidence reviews, approvals, intended first use and last use dates
• Incorporate relevant changes to regulatory rules applicable to the firm’s business into the firm’s procedures and ensure new marketing materials are approved accordingly
• Provide other compliance support when needed
• Help provide training and guidance on key policies and procedures related to the firm’s marketing compliance program

• Active Series 7, 24 and 63 licenses are required
• Extensive understanding of the regulatory environment regarding FINRA and NFA rules governing broker-dealer communications, including FINRA Rule 2210 and NFA Rule 2-29
• Understanding of various asset classes, and applicable regulatory requirements and guidance, including equities, options, futures, and cryptocurrency
• Effective communication skills and attention to detail
• Ability to work both independently and collaboratively
• Ability to demonstrate good judgement
• Able to exhibit the highest standard of integrity and professional ethics
• Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
• At least 2-3 years of work experience in the broker-dealer industry
• Undergraduate college degree required
• Compliance experience strongly preferred

Series 4 and Series 3 (will be required post-hire)

• Performance Bonuses
• Stock Purchase Options
• 401k Plan
• Medical/Dental/Vision Benefits
• 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
• 10 Paid Sick Days
• Gym Membership Reimbursement
• Commuter Benefits
• Pet Insurance
• Wellness & Mental Health Programs
• Charitable Donation Matching
• Two Paid Volunteer Days Off
• Daily catered lunch when in the office
• Full kitchen with snacks and beverages
• In-building gym
• Shuttle to/from Metra