Compliance Manager

  • location: Rockville, MD
  • type: Permanent
  • salary: $80,000 - $90,000 per year
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job description

Compliance Manager

job summary:
Are you a compliance professional looking for a growing and dynamic company? Do you want to shape your environment and lead a team? The Advertising Compliance Manager manages a team of 4 advertising review analysts that ensure advertising and sales materials submitted by registered representatives are in compliance with FINRA, SEC and state regulations.

location: Rockville, Maryland
job type: Permanent
salary: $80,000 - 90,000 per year
work hours: 9 to 5
education: Bachelor's degree
experience: 5 Years
  • Manages the Advertising Review team, including hiring and placement, performance management, training and development, workflow planning, and any disciplinary actions. Staff includes remote and local associates
  • Monitors and interprets FINRA and SEC regulations to ensure that field and home office materials comply with regulatory standards
  • Continually educates Advisors about the advertising review guidelines and policies.
  • Attends professional conferences and participates in continuing education training as necessary
  • Implements and tracks performance metrics related to responsiveness and quality control
  • Bachelors in Accounting or Business related degree
  • 5+ years of related work experience in a securities firm, financial services organization, legal, regulatory, compliance or similar role
  • Excellent communication and writing skills, ability to set work and project priorities, leadership and conflict management skills, ability to coach, develop and motivate associates
  • Series 7, Series 24, Series 66 and S65/S63 registrations required
  • Familiarity with RegEd AdTrax preferred
  • Contact for additional details
skills: Compliance
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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