Compliance Specialist, Communications Review, eComm Surveillance

Job not on LinkedIn

🔥 3 minutes ago

🇺🇸 United States – Remote

💵 $80k - $120k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 0%

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Finalis

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2020

💰 $10.7M Seed Round on 2022-06

Finalis is a company; the provided content is only website CSS, cookie-notification text and other frontend markup. There is no product, service, or industry information in the supplied text, so the company's business focus cannot be determined from this input.

📋 Description

• Review and approve advertisements, sales literature, websites, social media content, presentations, private placement memoranda, newsletters, email campaigns and other communications with the public under FINRA Rules 2210 and 2212 through 2216. • Evaluate content for fair and balanced presentation, substantiated claims, required disclosures, and performance and projection standards. • Determine filing and pre-approval requirements and prepare communications filings. • Review electronic communications of registered personnel, including email, instant and text messaging, collaboration and chat platforms, and other approved channels, under FINRA Rule 3110(b)(4) and written supervisory procedures. • Review social media and other business-related online postings of registered personnel for compliance with communications rules, outside business activity and firm policies. • Triage surveillance alerts, clear false positives, and escalate potential issues including misleading statements, unapproved communications, off-channel activity, undisclosed outside activities and customer complaints. • Document reviews, findings and resolutions, and follow up with registered personnel until matters are closed. • Help tune surveillance lexicons, sampling methods and alert thresholds. • Prepare periodic surveillance reports and trend summaries for the CCO. • Maintain review logs, approvals and supporting documentation under SEC Rule 17a-4 and FINRA Rule 4511. • Help confirm registered personnel use only approved communication channels and support related attestations and training. • Keep written supervisory procedures, review checklists and training materials current. • Serve as a day-to-day compliance resource for bankers and marketing staff. • Translate regulatory requirements into clear, practical guidance. • Stay current on FINRA and SEC developments affecting communications and electronic communications supervision. • Support general compliance work assigned by the CCO, including testing and regulatory inquiries.

🎯 Requirements

• Minimum of 3 years of experience reviewing and/or principally approving marketing materials for a financial industry firm, preferably a broker-dealer. • Working knowledge of FINRA and SEC communications rules and the fair, balanced and not misleading standard. • Working knowledge of FINRA and SEC rules regarding testimonials, endorsements, rankings and awards. • Familiarity with the supervision of electronic communications and social media at a financial industry firm, and the ability to learn new surveillance tools quickly. • Basic, general understanding of broker-dealer compliance, including supervision, recordkeeping and regulatory filings. • Ability to work through a steady queue of reviews and alerts to deadline in a fast-paced environment. • Excellent verbal communication skills and comfort giving direct feedback to investment bankers and other registered personnel. • Discretion with confidential and sensitive information. • Currently hold, or have previously held, a FINRA Series 24 and/or Series 79 license (bonus). • Series 7 or Series 82 registrations (welcome). • Hands-on experience performing eComm or correspondence surveillance and working with surveillance, archiving or lexicon-based review tools (bonus). • Experience reviewing social media activity and off-channel communications for registered personnel (bonus). • Experience reviewing investment banking pitch books, marketing decks and deal announcements (bonus). • Experience at an investment bank, broker-dealer, securities law firm, FINRA, the SEC or another financial-services regulator (bonus).

🏖️ Benefits

• 100% Remote work • Competitive USD salary • Generous Paid Time Off • Additional Flex Days • Benefits Package (Healthcare, Medical, Vision, Dental, 401k) • Paid Family Leave • Diverse and inclusive culture

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