Compliance Consultant, Marketing

About Atomic

We are a fast-growing, mission-driven company powering the expansion of financial services and wealth creation globally. We build critical financial infrastructure that allows consumer-facing companies to offer engaging investing experiences to their customers in a frictionless way. We host advanced investing capabilities ranging from ESG investing to multi-currency trading across 60 global markets. We are a team of financial empowerment enthusiasts that have come together from various industries including tech, banking, finance, and law.

The company closed its Series A and we are positioned to rapidly scale. Come join an exciting opportunity to make a lasting impact!

Role

The Marketing Compliance Consultant position will play a significant role in the continued development of the compliance function and operationalizing compliance across the firm and its Partners. You’ll be reporting into Compliance while working closely with the Partnerships team, Product team, Brokerage Operations, and IT. The right person is one who is legitimately eager to learn, has a growth mindset, and has a “can do” positive attitude. 

Once here you will 

• Focus on marketing reviews for the firm’s Broker-Dealer, RIA, and activities of our Partners.
• Interact with Partners of the firm and provide guidance relating to their website, UI, App, and other marketing materials
• Assist with leveraging technology to enhance the automation of compliance
• Draft broker-dealer and RIA policies and procedures 
• Draft and ensure we develop proper internal control procedures relating to Marketing reviews, Partner Compliance, and other areas.  
• Assist with responding to regulatory inquiries while explaining complex workflows clearly and concisely 
• Strong analytical ability to research client complaints, draft correspondence to regulators and customers, and make related filings
• Effective identification and internal reporting of operational, financial, and regulatory risks
• Conduct marketing and advertising reviews to ensure they comply with FINRA rules
• Oversee individual and firm registrations with FINRA and the SEC
• Assist with obligations as it pertains to "Access Persons" for the RIA and "Registered and NRFs" for the broker-dealer

Qualifications 

• FINRA Series 7 & 24 required 
• 2+ years experience reviewing marketing materials; strong understanding of FINRA Rules 2210 and 2211, the SEC Marketing Rule, and interacting with FINRA’s Marketing Department
• 5+ years financial services experience with a Broker Dealer and/or RIA
• Experience drafting policies and procedures 
• Technical aptitude and experience working with IT or Engineering department (in terms of Compliance collaboration) is important 
• Knowledgeable of financial markets and investing 
• Experience with systems such as Red Oak and Global Relay is a plus
• College degree preferred
• Knowledge of trading desk and back office mechanics - equity securities a must, treasuries / options nice to have

 

 

Atomic is an equal opportunity employer that values the benefits of diversity and prohibits discrimination and harassment All employment decisions at Atomic are based on business needs, job requirements and individual qualifications, without regard to age, race, color, religion or belief, stature, gender or sexual orientation, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. Atomic will not tolerate discrimination or harassment based on any of these characteristics.

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