Communications Compliance Senior Specialist

Skills

About the Role

You will review and advise on parent company and enterprise-level communications, including select third-party advertising content, and work with business compliance on multi-entity communications. You will provide guidance early in the creative process and support internal teams in meeting regulatory requirements and internal policies. You will ensure communications align with FTC, SEC, FINRA, CFTC, FCA and other applicable regulatory standards. You will also contribute to strengthening review processes and documentation practices that support consistent, high-quality compliance oversight.

Requirements

• A bachelor's degree or equivalent experience in a legal or compliance role within the financial services industry
• 5+ years of experience in communications compliance or a related function supporting public-facing content
• Knowledge of applicable regulatory frameworks, including FTC, SEC, FINRA, CFTC, FCA, or similar regulatory requirements
• Strong written and verbal communication skills, with the ability to provide clear, practical guidance to diverse business partners
• Experience managing multiple priorities and larger, complex compliance projects, independently with shifting deadlines while maintaining attention to detail and documentation standards
• Ability to effectively manage multiple priorities and adapt to a changing environment; project management skillset is a bonus
• Ability to collaborate cross-functionally with Legal, Compliance, Marketing, Content, Research, Engineering, or similar teams to support compliant communications
• Experience using tools such as Google Workspace, Figma, Red Oak, Tableau, or Coda, and familiarity with AI-enabled business tools such as ChatGPT or Google Gemini in a compliance or business context

Responsibilities

• Review, analyze, and advise internal clients on the adherence of parent company and enterprise-level communications and certain third party advertising units with compliance and firm guidelines
• Conduct principal-level review and approval of communications to ensure they meet applicable regulatory laws as well as firm standards
• Guide internal stakeholders and teammates on Compliance for projects and deliverables with an enterprise-level lens and perspective
• Attend Communications and Marketing partners staff meetings to provide early advice on parent company communications campaigns and PR strategies
• Draft practical guidelines for internal clients to ensure compliance with regulatory and firm requirements
• Engage internal legal counsel in the process to ensure the appropriate legal discipline opines at the right time
• Develop and implement process and system improvements to increase quality, effectiveness, impact and scalability

Benefits

• Bonus programs
• Equity ownership
• 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet benefits spending account for wellness, learning, and more
• Employer-paid life and disability insurance
• Fertility benefits
• Mental health benefits
• Company holidays, paid time off, sick time, and parental leave
• Catered meals, events, and comfortable workspaces