Position Details

Type Not Specified

Experience mid

Exp. Years 3+ years of experience

Education Not specified

Category Legal & Compliance

About this role

This role is an Associate-level Compliance position in Wealth Management Compliance’s Investment Products Advisory team, focused on advising EquityZen and the firm’s Private Markets business. The associate helps build compliant products and scalable controls, reviews advertising and marketing materials, supports regulatory examinations, and prepares key regulatory filings.

Key Responsibilities

Assess and implement new technologies and automation opportunities to optimize compliance processes
Support regulatory examinations, securities law matters, and review advertising/marketing materials
Proactively update policies and procedures for changing regulatory milestones
Conduct risk-based monitoring and communications review to meet compliance requirements
Prepare Form ADV, Form 4530 Complaint filings, and other regulatory filings; provide compliance training

Technical Overview

The technical compliance scope includes risk-based monitoring, communications and advertising review (including performance advertising), and updating policies and procedures to meet regulatory milestones. The role also requires preparation of Form ADV and Form 4530 Complaint filings and working knowledge of FINRA rules, SEC rules, AML regulations, and private placements.

Ideal Candidate

The ideal candidate is a mid-level compliance professional with 3+ years of compliance experience in broker-dealer, investment advisor, investment bank, or asset manager environments. They hold active Series 7 and Series 24 licenses and have hands-on experience reviewing marketing/advertising (including performance advertising), supporting regulatory examinations, and preparing Form ADV and Form 4530 complaint filings.

Must-Have Skills

Active Series 7 licenseActive Series 24 licenseExperience reviewing marketing materials and advertisingspecifically including performance advertisingWorking knowledge of securities lawsprivate placementsFINRA rulesSEC rulesand AML regulations

Nice-to-Have Skills

Experience at the SEC's Division of Examinations/OCIEExperience at FINRAExperience at the OSC

Tools & Platforms

Form ADVForm 4530

Required Skills

Complianceregulatory examinations supportsecurities law mattersreview of advertising and marketing materialsperformance advertisingpolicies and proceduresrisk-based monitoringcommunications reviewForm ADV preparationForm 4530 Complaint filingsregulatory filingsFINRA rulesSEC rulesAML regulationsprivate placementscross-functional collaborationtraining and compliance advocacy

Hard Skills

ComplianceRegulatory examinations supportSecurities law matters reviewReview of advertising and marketing materialsperformance advertising reviewPolicy and procedure developmentRisk-based monitoringcommunications reviewForm ADV preparationForm 4530 Complaint filings preparationRegulatory filings preparationFINRA rules knowledgeSEC rules knowledgeAML regulations knowledgeManaging compliance controls and processesTraining and compliance advocacyCross-functional collaboration

Soft Skills

Issue-spottingProactive orientationPropose actionable solutionsTake ownershipDrive processes to conclusionCollaborative team playerOutstanding initiativeOrganizational skillsAttention to detailIntegrityOutstanding judgmentStrong verbal and written communicationComfort adapting guidance to new marketsEnthusiasm for teaching others

Certifications

Required

Series 7Series 24

Industry & Role

Industry Fintech

Job Function Provide compliance advisory and risk-mitigation controls for Private Markets and FinTech marketplace products, including regulatory review and filings.

Role Subtype Compliance Analyst

Keywords for Your Resume

Private Markets Compliance AssociateCompliance AssociateWealth Management ComplianceInvestment Products Advisory teamFinTech marketplaceassessing and implementing new technologiesautomationprocess optimizationcross-functionallyregulatory examinationssecurities lawreview of advertising and marketing materialsperformance advertisingpolicies and proceduresrisk-based monitoringcommunications reviewcompliance requirementsForm ADV4530 Complaint filingsregulatory filingsSEC rulesFINRA rulesAML regulationsprivate placementsActive Series 7Active Series 24Wealth Management Compliance Investment Products AdvisoryForm 4530Series 7Series 24

Deal Breakers

Must have active Series 7 license, Must have active Series 24 license, Must have experience reviewing marketing materials and advertising, specifically including performance advertising

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