The Senior Compliance Analyst will work closely with the Vice President of Compliance to develop, implement, oversee, and measure the compliance programs that focus on CIM’s communications with the public. The ideal candidate will be well versed in SEC and FINRA advertising regulations, be able to explain complex regulatory issues to business partners and find creative solutions to aid in successful and compliant communications with public. Additional opportunities will exist to support other areas of the compliance department as needed.
Review of all forms of communications including but not limited to print, email, public appearances and social media. Maintain awareness of existing and new regulations that govern communications with the public, securities attributes and applicable sales practices. Facilitate communication-related filings with FINRA, the SEC, and various states as required. Help to maintain Compliance Department procedures related to communications with the public.Help develop and deliver compliance training around communications with the public to new hires and as part of the broker-dealer’s firm element and annual compliance program. Assist with audits of controls; evaluation of procedural effectiveness and implementation of changes in response to regulatory changes and internal needs.Provide general compliance support related to all aspects of the broker-dealer’s supervisory procedures.Maintenance of advertising review systems and advertising books and records.
Educational/Experience Requirements (including certifications, licenses, etc):Series 7 and 24 FINRA licenses (Required)5+ years compliance experience in an investment products, asset management, or financial services organizationKnowledge of and effective application of FINRA and SEC rules regarding investment product marketing Familiarity with general investment adviser and broker-dealer compliance, ’40 Act funds, private fund offerings and non-trade REITs is a plusBachelor’s degree or equivalent industry and work experience
Communication Skill Requirements:Ability to read and comprehend securities industry regulationsAbility to read and interpret legal documents Ability to develop and maintain effective working relationships, including but not limited maintaining strict confidentiality and appropriate judgment and discretion in handling highly sensitive and confidential mattersAbility to communicate, orally and in writing, with individuals at all levels of CIM and with outside law firms, regulatory agencies and the like
Technical Skill Requirements:Proficiency with Microsoft Office Suite applicationsFamiliarity with FINRA Advertising Regulation Electronic Files (AREF) system Familiarity with web-based compliance platforms a plusExcellent written and verbal communication skills