What You'll Do:
You will play critical role important to the future of M1. Reporting to our Head of Compliance, you will help business partners navigate the regulatory landscape. Additionally you’ll have the opportunity to collaborate with and influence people across the company to ensure M1 complies with all applicable laws and regulations. This variety of work will support M1’s business through contributions in all functions of compliance, including:
- Be a primary resource across M1 product development and operations by providing advice and guidance on regulatory matters and new product opportunities.
- Research and respond to regulatory complaints, inquiries, exams, and audits.
- Communicate difficult concepts; convert information to compelling business context and advice; influence and gain alignment across increasingly senior stakeholders.
- Review advertising and marketing materials as well as other electronic communications pursuant to FINRA and SEC Regulations, internal policies and procedures, and all other applicable guidelines.
Qualifications:
- FINRA Series 7 and 24 required.
- 5-8 years of compliance experience in financial services.
- Experience reviewing Marketing material and retail communications.
- Excellent verbal and written communication skills with the ability to articulate complex information in a clear and concise manner.
- Strong interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization.
- Ability to work in a fast-paced environment and handle multiple tasks and deadlines with strong attention to detail.
Bonus Points:
- SQL and Tableau skills.
- Additional Financial Services experience including banking, loans, and credit cards.
- Crypto compliance experience.
- Fintech or Start-up experience.
