Compliance Consultant

Atomic Invest•New York, NY

63d

About The Position

We are seeking a highly skilled and experienced compliance professional to join our team supporting both our broker-dealer and registered investment adviser (RIA) operations. The position will play a significant role in the continued development of the compliance department, marketing reviews, and helping to operationalize compliance across the firm and its business partners. You’ll be reporting into the Chief Compliance Officer while working closely with the Partnerships team, Product team, Brokerage Operations, and IT. The right person is one who is legitimately eager to learn, has a growth mindset, and has a “can do” positive attitude.

Requirements

FINRA Series 7 & 24 required
3-5 years financial services experience with a Broker Dealer and/or SEC registered investment advisor
2+ years experience reviewing marketing and advertising materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Advertising Regulation Department
Experience drafting policies and procedures
Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important
Knowledgeable of financial markets and investing

Nice To Haves

Experience with systems such as Red Oak and Global Relay is a plus
College degree preferred
Knowledge of trading desk and back office mechanics

Responsibilities

Conduct and document marketing and advertising reviews for the firm’s broker-dealer, RIA, and activities of our business partners.
Interact with business partners of the firm and provide regulatory guidance and training relating to their website, UI, App, and other marketing materials
Assist with leveraging technology to enhance the automation of compliance
Maintain and enhance compliance policies and procedures to align with evolving regulations and firm practices
Develop proper internal control procedures relating to marketing reviews, business partner compliance, and other areas.
Assist with the development and delivery of compliance training programs for employees
Assist with regulatory filings, audits, and examinations as needed
Analyze and research customer complaints, draft correspondence to regulators and customers, and assist with related filings
Conduct and support risk assessments to identify and mitigate potential compliance, operational, financial, and regulatory risks
Manage and oversee third-party due diligence processes for vendors and business partners
Oversee individual and firm registrations with FINRA and the SEC
Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered Representatives and NRFs" for the broker-dealer
Collaborate with business, legal, and operations teams to maintain consistent compliance practices across all departments.