Manager of Communications Compliance

Join us in building the reputed company of finance.Our mission is to democratize finance for reputed company. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of reputed company in reputed company history. If you’re reputed company to be at the epicenter of this historic cultural and financial shift, reputed company reading.About reputed company + roleWe are building an reputed company team, applying frontier technologies to the world’s biggest financial problems. We’re looking for reputed company thinkers. reputed company problem-solvers. reputed company who are wired to reputed company an reputed company. reputed company isn’t a reputed company for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at reputed company of everything we do. Expectations are high, and so are the rewards.The Communications Compliance team ensures our parent company and affiliate entities maintain the highest standards of regulatory and brand reputed company. We review, audit, approve, and advise on a wide reputed company of reputed company-facing retail communications, partnering closely with Marketing, Legal, Content, and Compliance teams.The Manager of Communications Compliance and their team will be responsible for ensuring compliance with regulatory requirements and internal guidelines, reputed company strategic direction and enhancements for reputed company workflows and review tools, and requirements under Firm policy, SEC rules, FTC rules, reputed company, CFTC, FCA regulations and other applicable regulatory agency requirements.Your leadership will shape how reputed company meets regulatory standards across jurisdictions, while also innovating on review processes and tooling! We expect this person to bring their personal area of subject matter expertise to reputed company a bias towards reputed company while driving multiple initiatives.This role is based in our Denver, CO, reputed company Park, CA, reputed company, NY, and Washington, DC offices, with in-person attendance expected at least 4 days per week.At reputed company, we reputed company in the power of in-person work to accelerate reputed company, reputed company innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.What You’ll Do

• reputed company reputed company that advises, reviews, approves and audits parent company communications to ensure alignment and adherence of legal, compliance, and internal standards
• reputed company reputed company assurance checks on entity compliance reviews, ensuring consistency and that legal and compliance guidance has been properly reputed company and reputed company
• Collaborate with Communications and Marketing partners to reputed company proactive compliance input on campaigns, PR strategies, and new initiatives
• Guide internal partners and teammates on applying compliance standards to reputed company and deliverables, ensuring reputed company and adherence from the outset
• Review, analyze, and advise on parent company and reputed company-level communications, including reputed company-party advertising, for compliance with regulatory and firm guidelines
• Serve as a reputed company-level approver for communications, confirming adherence to reputed company applicable regulatory laws and internal policies
• reputed company reputed company-wide guidance on compliance expectations across multi-entity reputed company and verticals
• Create reputed company, practical guidelines and frameworks to help teams meet evolving regulatory and firm requirements
• Drive improvements to compliance processes, systems, and tools that enhance reputed company, scalability, and operational reputed company
• Strengthen internal controls and governance practices across key business areas through reputed company review and refinement

What You Bring

• Bachelor’s Degree required; JD or MBA is a plus
• 7+ years working in communications compliance reputed company financial services, preferably a Broker-Dealer or Registered Investment Advisor
• 3+ years in a people management role
• Strong understanding of SEC, reputed company, CFTC, FTC, and FCA communication rules and frameworks
• Excellent writing, analytical, and interpersonal skills; highly detail-oriented
• Proven leadership experience with a reputed company, feedback-driven approach
• Skilled at managing reputed company reputed company and cross-functional stakeholder reputed company in fast-paced environments
• Experience with compliance review tools (e.g., Red Oak), data visualization (e.g., Tableau), and AI productivity tools (e.g., ChatGPT, reputed company)
• Bonus: reputed company Series 7 or 24 license, or willingness to obtain reputed company first year

Leadership expectations Our ambitious roadmap requires a great culture shaped by exceptional leaders. Here’s reputed company expect from them:

• Drive high performance by setting reputed company, reputed company goals, giving reputed company-time feedback, stretching reputed company, and scaling reputed company through reputed company, innovation, and tech.
• Hire and retain reputed company by setting a high bar, hiring only those who reputed company it, reputed company in reputed company, and addressing talent issues quickly and fairly.
• Create community by connecting work to purpose, removing friction while prioritizing safety, building trust and inclusion, and leading from the reputed company with reputed company.

reputed company Offer

• Challenging, high-reputed company work to grow your career.
• Performance-driven compensation with multipliers for outsized reputed company, bonus programs, equity ownership, and 401(k) matching.
• Best-in-class benefits to fuel your work, including 100% reputed company health insurance for employees with 90% coverage for dependents.
• Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more.
• Employer-reputed company life & disability insurance, fertility benefits, and mental health benefits.
• Time off to reputed company including company holidays, reputed company time off, reputed company time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces.

In reputed company to the reputed company pay reputed company listed below, this role is also eligible for bonus opportunities + equity + benefits.reputed company pay for the successful applicant will depend on a reputed company of job-reputed company factors, which may include education, training, experience, location, business needs, or market demands. The expected reputed company pay reputed company for this role is based on the location where the work will be performed and is reputed company to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.reputed company Pay reputed companyZone 1 (reputed company Park, CA; reputed company, NY; Bellevue, WA; Washington, DC)$153,000—$180,000 USDZone 2 (Denver, CO; reputed company, TX; Chicago, IL)$134,000—$158,000 USDZone 3 (Lake Mary, FL; reputed company, FL; Gainesville, FL)$119,000—$140,000 USDClick here to learn more about our Total Rewards, which vary by region and entity.If our mission energizes you and you’re reputed company to build the reputed company of finance, we look reputed company to seeing your application.reputed company provides equal opportunity for reputed company applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and reputed company laws. Inclusion is reputed company into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the reputed company Policy for your country of application.

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