Compliance Specialist, Advertising and Surveillance

Join a compliance team at Public, an investing platform, that is focused on marketing and brand compliance. As a Compliance Specialist, Advertising & Surveillance, you will be responsible for ensuring compliance with FINRA and SEC advertising rules and regulations. This includes reviewing and approving communications prior to publication, as well as conducting surveillance of various control functions. The ideal candidate will have experience with traditional advertising regulations and be able to interpret and apply rules in a fast-paced environment. This role is based in New York City.

Review and approve communications with the public prior to publication in accordance with FINRA and SEC advertising rules, regulations, and best practices

Surveillance of email, firm and employee securities transactions, social media use, and other high impact control functions designed to identify, measure, and mitigate risk

Interpret and apply FINRA (Rule 2210) and SEC rules and regulations as they apply to traditional advertising, retail communications, and internal training material

Assist with compliance initiatives related to supporting regulatory examinations, investor protection, and governance efforts

Daily review of advertising submissions and commitment to the success of marketing, growth, and editorial initiatives

Management and administration of RedOak compliance tool

Work with the vendor (RedOak) on any new implementations for the firm

• Experience with FINRA (Rule 2210) and SEC rules and regulations related to traditional advertising, retail communications, and internal training material
• Ability to interpret and apply rules in a fast-paced business environment
• Familiarity with advertising compliance and best practices
• Knowledge of marketing and brand compliance
• Experience with surveillance of email, firm and employee securities transactions, and social media use
• Ability to identify, measure, and mitigate risk across the organization
• Strong attention to detail and commitment to compliance
• Familiarity with RedOak compliance tool and ability to manage and administer it
• Ability to maintain and update the firm's disclosure library and regulatory style guide
• Experience in creating guidelines for new initiatives
• Knowledge of compliance assurance and audit processes
• Ability to train marketing and content submitters on guidelines and submission tool
• Familiarity with filing advertisement items with FINRA
• Proficiency in reviewing and monitoring electronic communications
• Familiarity with complaint submissions to FINRA

Opportunity to expand knowledge in the capital markets

2-5 years of securities experience

Proficiency in understanding and applying FINRA and SEC advertising rules and regulations

Excellent interpersonal skills

Experience in regulatory compliance surveillance, oversight, or assurance programs

Ability to work independently

Exceptional communication skills

Necessary licensure: FINRA SIE, Series 7 and 63

Bonus licensure: FINRA Series 4, 53, and/or 86/87

Equal employment opportunity employer

Pay range of $85,000 - $110,000/year

Base pay offered may vary based on job-related knowledge, skills, and experience