Position Details

Salary $55K – $100K USD / year

Type Full-Time

Experience mid

Exp. Years 1 - 3+ Years

Education Bachelor's degree or equivalent; 4 years of experience in lieu of bachelor's

Category Consulting & Advisory

About this role

Develop and administer suitability compliance programs to ensure regulatory adherence for securities and insurance marketing materials. Research federal securities and state insurance laws, file and update reports, deliver training, and support audits and policy development.

Key Responsibilities

Develop and administer suitability compliance review programs
Identify, research and resolve exceptions
Provide ongoing routine suitability and compliance review of materials
Conduct research of federal securities laws and state insurance laws
Prepare, update and file applicable reports, forms, and contracts

Technical Overview

Regulatory compliance scope focused on securities and insurance; requires licensing (SIE, Series 6, Series 26) and policy/documentation work; no IT stack.

Ideal Candidate

The ideal candidate is a mid-level compliance professional with 1-3+ years of compliance or legal experience, familiar with federal securities and state insurance laws, and licensed with SIE and Series 6/26. Strong training and policy development skills, plus ability to collaborate with multiple stakeholders, are essential.

Must-Have Skills

1 - 3+ Years of Compliance and/or Legal experience that directly aligns with the specific responsibilities for this position.Bachelor's degree or equivalent work experience4 Year/Bachelor's degree or equivalent work experience (Minimum Required)SIESeries License-6Series License-26

Required Skills

Bachelor's degreecompliancelegal experiencesuitability reviewfederal securities lawsstate insurance lawsauditstrainingpolicy developmentregulatory inquiriesinternal stakeholdersexternal stakeholdersSIESeries 6Series 26regulatory reportingforms and contractsdocumentation

Soft Skills

strong communicationstakeholder managementattention to detailtrainingresearchpolicy developmentpresentationwriting

Certifications

Required

Securities Industry Essentials (SIE) CertificationSeries 6 LicenseSeries 26 License

Industry & Role

Industry Insurance

Job Function Develop and manage suitability compliance programs ensuring regulatory adherence across materials and communications

Role Subtype Compliance Analyst

Keywords for Your Resume

suitability compliance specialistsuitability review programsfederal securities lawsstate insurance lawsregulatory inquiriesregulatory and audit inquiriestrainingpolicy developmentinternal stakeholdersexternal stakeholdersSIESeries License-6Series License-26Bachelor's degreecompliancelegal experienceauditsforms and contractsregulatory requirementsdocumentationSuitability Compliance Specialist

Deal Breakers

Bachelor's degree or equivalent required, 1-3+ years compliance experience, SIE, Series 6, Series 26 licenses, Authorized to work in the United States

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