Compliance Communications Team Lead

You will translate compliance goals into clear objectives and exercise expert judgment to influence compliance direction. You will review, audit, and approve retail communications and advertising to ensure adherence to SEC, FINRA, and internal policies. You will advise stakeholders, lead process improvements to scale the function, and guide internal teams on compliance for high-risk products and promotions.

Responsibilities

• Provide expert guidance and serve as an escalation point for complex compliance interpretations
• Review audit and approve communications with the public (Principal Review)
• Develop program efficiencies and lead process enhancements
• Build relationships and lead compliance strategy across stakeholders
• Guide internal customers on compliance for projects and deliverables

Requirements

• Bachelor’s Degree
• FINRA Series 7 and Series 24 (Series 4 to be acquired within 120 days if not held)
• 7+ years working in compliance or a relevant function with a track record of leading projects
• Experience with advertising review tools such as Red Oak, Saifr, PerformLine, or similar workflow management systems
• Practical expertise with FINRA communications rules including 2210 and 2220 and related SEC/FINRA supervision and books-and-records requirements
• Experience as a registered principal reviewing and approving communications with the public, including high-risk topics like options, margin, and promotions
• Prior experience leading or mentoring a team is preferred
• Ability to manage multiple priorities in a fast paced, changing environment
• Strong written and verbal communication, strategic and negotiation skills, and attention to detail
• General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication

Benefits

• Performance-driven compensation with bonus opportunities and equity
• 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Flexible benefits spending account (Lifestyle wallet)
• Employer-paid life and disability insurance
• Fertility benefits
• Mental health benefits
• Paid time off, company holidays, sick time, and parental leave
• Catered meals and office events