A leading compliance organization seeks a seasoned professional to oversee advertising materials compliance. This remote role requires 5+ years of experience in compliance within an SEC-registered RIA, leading review processes and training IARs on compliance regulations.
Key Responsibilities:
* Leading the review process for advertising materials
* Training and advising new IARs on compliance regulations
* Collaborating with internal teams to ensure alignment with best practices and regulatory standards
Requirements:
* 5+ years of experience in compliance within an SEC-registered RIA
* Experience leading review processes and training IARs on compliance regulations
* Strong understanding of compliance regulations and industry best practices
Benefits:
This is a remote opportunity with flexible working hours. Our organization offers a competitive compensation package and opportunities for professional growth and development.