Key Responsibilities : Review retail communication against applicable laws, firm policy, and regulations, and provide concise feedback on necessary changesEnsure reviews meet record retention requirements and assist in maintaining internal compliance materialsComplete assignments within service level agreement timeframes and assist other analysts in a team environmentRequired Qualifications ... Bachelor's degree or equivalent experienceThree years relevant experience in compliance, with advertising compliance experience preferredSeries 7 & 24 FINRA registrations requiredAbility to manage high volumes under tight deadlinesOrganization skills Last updated : 2024-03-26
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