Regulatory Compliance Officer
Company: VirtualVocations
Location: Port Saint Lucie
Posted on: April 6, 2025
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Job Description:
A company is looking for a Regulatory, Product and Marketing
Compliance Officer.
Key Responsibilities
Assist in regulatory examinations and inquiries, identifying and
mitigating risks
Support product teams with compliance on customer-centric product
development and regulatory analysis
Manage advertising and marketing compliance, collaborating with
various internal stakeholders
Required Qualifications
FINRA Series 7 and 24 required; Series 65 or 66 must be obtained
within 90 days
7+ years of regulatory compliance experience in Fintech, SEC
Registered Investment Adviser, or Broker Dealer
4+ years of people management experience with strong leadership
skills
Bachelor's or advanced degree in a related field
Extensive experience with SEC and FINRA rules, particularly FINRA
Rule 2210 and the SEC Marketing Rule
Keywords: VirtualVocations, Fort Lauderdale , Regulatory Compliance Officer, Other , Port Saint Lucie, Florida
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