Senior Compliance Analyst position at CIM Group, responsible for developing and implementing compliance programs for public communications, ensuring adherence to SEC and FINRA regulations, and providing compliance support to various teams.
Requirements
- Review of all forms of communication, including print, email, public appearances, websites, and social media
- Facilitation of communication-related filings with FINRA, the SEC, and various states as required
- Development and delivery of compliance training to new hires and as part of the broker-dealer's firm element and annual compliance program
- Maintenance of advertising review systems and advertising books and records
Benefits
- Medical, dental, and vision benefit plans
- Health Savings Account with a generous employer contribution
- Company paid life and disability insurance
- 401(k) savings plan with company match
- Comprehensive paid time off, including vacation days, holidays, sick time, and bereavement leave
- Up to 16 hours of volunteer time off
- Up to 16 weeks of Paid Parental Leave
- Ongoing professional development programs
- Wellness program, including monthly and quarterly prizes