Job Description

Compliance Officer - Advertising

TradeZero America, a growing broker dealer in the fintech space is seeking an experienced Compliance Officer for its New York office. The employee will report to the Chief Compliance Officer. The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulatory priorities and compliance program to ensure compliance with FINRA and SEC guidelines, rules and regulations.

Some Responsibilities:

1. Retail / Institutional communications and advertising
2. Press Releases
3. Website supervision – FAQs, Learning center, Blogs, News Articles, Banners
4. Email communication
5. Compliance reviews, audits and information requests
6. Assist in directing the firm regulatory priorities and compliance program
7. Assist in updates: WSPs, AML, BCP, Reg BI, Form CRS
8. Internal communication and support for operation and development staff
9. Actively monitor regulatory developments
10. Research exchange rules, analyze rule interpretations
11. Work with legal as needed

Qualifications:

1. 3 + years’ experience working in compliance at a Broker Dealer
2. Proactive, self-starter
3. Strong writing skills
4. Strong computer skills
5. Knowledge of advertising, social media rules and regulations
6. Effective communicator – ability to interact well with different teams and personalities
7. Work well in a fast paced environment
8. Series 24 and Series 7

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