Marketing & Advertising Compliance

Required

• 4+ years of relevant experience in marketing, advertising, or retail communications compliance at a regulated financial institution, regulator, or law firm.
• Strong understanding of FINRA, NFA, CFTC, or SEC rules governing retail communications, advertising, and promotional materials.
• Sound judgment and the ability to provide clear, business-minded guidance under tight deadlines.
• Strong writing skills and attention to detail.
• Comfort working independently in a fast-paced environment.
• New York location preferred but not strictly necessary for the right candidate.
• Helpful Experience
• J.D. preferred but not required; active U.S. bar membership is a plus.
• FINRA Series 24 registration or comparable compliance and supervisory credentials.
• Experience overseeing retail communications at a broker-dealer, futures commission merchant, trading platform, or other regulated financial services business.
• Experience at a startup or high-growth company.
• Familiarity with influencer marketing, social media advertising, and consumer-facing financial products.