FINRA Licensed Compliance ConsultantVirtualVocations • Stockton, California, United States
FINRA Licensed Compliance Consultant
VirtualVocations • Stockton, California, United States
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A company is looking for a Compliance Consultant to support broker-dealer and registered investment adviser operations.
Key Responsibilities
Conduct and document marketing and advertising reviews for compliance
Provide regulatory guidance and training to business partners regarding marketing materials
Assist with compliance training programs, regulatory filings, and risk assessments
Required Qualifications
FINRA Series 7 & 24 required
3-5 years of financial services experience with a Broker Dealer and / or SEC registered investment advisor
2+ years of experience reviewing marketing and advertising materials
Experience drafting compliance policies and procedures
College degree preferred
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Compliance Consultant • Stockton, California, United States
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