Job Description

Company Overview:

Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their back office. We are the premier trusted partner for asset managers and their funds, innovating with technology and serving with compassion. Paralel Distributors LLC is the registered broker-dealer affiliated with Paralel Technologies.

Role Overview:

Paralel is looking for a highly skilled and motivated individual to serve as a Senior Distribution Compliance Principal, for Paralel Distributors, who values teamwork, service, and growth. The ideal candidate will be responsible for reviewing and approving marketing and advertising materials to ensure compliance with FINRA and SEC regulations, and other applicable industry standards. This role requires a deep understanding of financial product marketing, regulatory guidelines, and risk assessment to support our clients advertising initiatives while maintaining compliance integrity.

Job Responsibilities: (may include and are not limited to)

● Marketing & Advertising Review

• Review and approval of marketing collateral, including digital content, print advertisements, social media, email campaigns, sales presentations, and websites.
• Ensure materials comply with FINRA rules, SEC regulations, and other applicable industry rules.
• Provide guidance to our clients’ marketing and compliance teams on compliant language, disclosures, and appropriate messaging for different financial products and distribution mediums.
• Conduct client public website monitoring.
• Ensure all modifications to marketing material suggested by the broker dealer or FINRA have been incorporated into final materials.
• Maintain accurate records of reviewed and approved marketing materials.

● Regulatory Compliance & Risk

• Stay up to date with FINRA, SEC, and state regulations.
• Help develop and maintain current internal policies and procedures to align marketing compliance.
• Assist in the preparation of standard materials for board meetings.
• Help in identifying efficiencies with compliance monitoring activities.
• Opportunity to engage in other broker dealer activities as necessary.

● Collaboration & Training

• Work closely with applicable teams to develop policies and procedures based on any regulatory changes.
• Provide training and ongoing education to our client’s and internal team on advertising compliance and regulatory best practices.
• Assist in audits, regulatory examinations, and inquiries.

Skills and Qualifications:

• Bachelor’s Degree
• Active Series 24 license required.
• A minimum of 3 years of experience in marketing review, preferably within a FINRA-registered broker-dealer or asset management firm.
• Strong understanding of securities laws and regulations pertaining to registered products including FINRA Rules, the Investment Company Act of 1940, the Securities Act of 1933, and the SEC Marketing Rule.
• Ability to thrive in a fast-paced, deadline-driven environment while managing multiple priorities.
• Excellent attention to detail and ability to communicate complex regulatory requirements in a professional manner.
• An exceptional team player with strong ability to communicate with a wide and diverse audience (both internal and external), including daily client interactions.
• Strong willingness to learn.

Compensation Range:

• $75,000 - $115,000
• The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications, and other factors.

Other Compensation:

• Performance bonus eligible

What We Offer:

A comprehensive benefits package, including:

• Employer paid medical options, plus dental and vision coverage
• Disability, AD&D and life insurance
• Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan
• 401(k) match
• Unlimited PTO, plus 10 paid holidays and generous leave policies
• Tuition Reimbursement for continued education
• An energetic team-based culture focused on our values of service to others and to our community
• On-site gym and yoga studio
• Work life flexibility

Paralel Technologies LLC is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Job Tags

Similar Jobs