Compliance Communications Senior Specialist (Fintech)

TL;DR

Compliance Communications Senior Specialist (Fintech): Overseeing the review and approval of retail communications to ensure adherence to regulatory standards with an accent on FINRA and SEC compliance. Focus on partnering with marketing and product teams to safeguard the firm's reputation while supporting growth initiatives.

Location: Must be based in New York, NY, Chicago, IL, Denver, CO, or Lake Mary, FL, with in-person attendance required at least 3 days per week.

Salary: $110,000 – $165,000 USD (based on location zone).

Company

A mission-driven fintech company dedicated to democratizing finance for all through innovative technology and high-performing teams.

What you will do

• Perform Principal review and approval of communications with the public to ensure regulatory compliance.
• Partner with product and marketing teams to provide strategic compliance advice on advertising and social media initiatives.
• Analyze and advise stakeholders on adherence to internal guidelines and regulatory requirements.
• Develop and implement process improvements to enhance quality and scalability within the compliance program.
• Build strong relationships across departments to align compliance strategy with business goals.
• Guide internal partners through complex projects to ensure deliverables meet firm policy and regulatory standards.

Requirements

• Bachelor’s Degree required.
• FINRA Series 7 and 24 licenses required (Series 4 must be acquired within 120 days).
• 6+ years of experience in compliance or a relevant financial services function.
• Deep expertise with FINRA rules 2210 and 2220 and SEC supervision requirements.
• Experience as a registered principal reviewing communications with the public.
• Proficiency with advertising review tools such as Red Oak, Saifr, or PerformLine.

Culture & Benefits

• Performance-driven compensation including bonus programs and equity ownership.
• 100% paid health insurance for employees and 90% for dependents.
• Flexible lifestyle wallet for wellness and learning expenses.
• Employer-paid life and disability insurance, fertility, and mental health benefits.
• Generous time off including company holidays, PTO, and parental leave.
• Collaborative office environment with catered meals and team events.