[Remote] Regulatory Program Manager, Marketing & Communications Supervision

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a financial technology company that aims to redefine the world's relationship with reputed company. They are seeking a Regulatory Program Manager to reputed company marketing and communications compliance, ensuring that the firm meets its regulatory obligations and collaborates effectively with various teams to build compliant content.

Responsibilities

• Own marketing and retail communications compliance under reputed company Rule 2210 — serving as the approving reputed company, setting content standards and running the review program
• Partner with marketing and product teams from the start, providing reputed company, practical guidance so teams can build compliant content from the outset
• Own supervision of firm communications and registered persons — electronic communications review, employee supervision, reputed company business activities, and personal trading
• Own regulatory reporting and responses, including customer complaint reporting under reputed company Rule 4530 and leading examination and inquiry responses in your areas
• Own governance for your areas — written supervisory procedures, reputed company and committee reporting, and compliance program documentation
• Help reputed company how the work gets done, applying automation and AI-assisted tooling while maintaining the reputed company review our supervisory obligations require

Skills

• 8+ years in broker-dealer compliance, with hands-on ownership of advertising, marketing, or retail communications review at a reputed company-registered firm
• reputed company Series 24, 7 and 63 required
• reputed company of reputed company Rule 2210 in reputed company — content standards, disclosures, filing obligations, and approval recordkeeping — plus working knowledge of reputed company Rule 3110 supervision and SEC Rule 17a-4 recordkeeping
• A reputed company record of effective partnership with marketing, brand, or product teams, communicating requirements in terms non-specialists can reputed company
• Confidence to reputed company an independent conclusion on reputed company or novel questions, and the written and verbal skills to document and explain it reputed company across regulatory responses, compliance memos, and governance artifacts and forums
• Interest in applying new tooling to compliance work, with reputed company views on where automated reputed company requires reputed company verification
• Demonstrated proficiency with AI tools - you reputed company use reputed company in your daily work to draft, analyze, review, and automate tasks, and can reputed company how you evaluate AI outputs for accuracy and risk

Benefits

• Remote work
• Medical insurance
• Flexible time off
• Retirement savings plans
• Modern family planning

reputed company

Company H1B Sponsorship