Compliance Specialist, Advertising and Surveillance
Public is an investing platform that allows people to invest in stocks, ETFs, treasuries, crypto, art, collectibles, and more – all in one place.Public’s platform helps people be better investors with access to custom company metrics, live shows about the markets, and real-time analysis. Members control how they invest with a suite of powerful tools, and get insights from a community of millions of investors, creators, and analysts.
Since 2019, Public has raised over $300 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Sean ‘Diddy’ Combs, Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.
About the role:
Join a compliance team that is working on the leading edge of financial services innovation! The Compliance Specialist, Advertising & Surveillance will primarily focus on marketing and brand compliance across Public and will be responsible for providing compliance expertise and partner support to Public’s Marketing, Growth, and Editorial teams. This includes review and approval communications with the public prior to publication in accordance with FINRA and SEC advertising rules, regulations, and best practices. The Compliance Specialist will also be responsible for surveillance of email, firm and employee securities transactions, social media use, and other high impact control functions designed to identify, measure, and mitigate risk across the organization.
The ideal candidate will have experience with FINRA (Rule 2210) and SEC rules and regulations as they apply to all forms of traditional advertising, retail communications, and internal training material. The Compliance Specialist must be able to reasonably, practically, flexibly and independently interpret and apply these rules in a fast-paced business environment so as to ensure balance between agile brand development and effective control. The Compliance Specialist will also assist with other compliance initiatives related to supporting regulatory examinations, investor protection, and governance efforts.
This role is based in New York City.
What you’ll do:
- Daily review of advertising submissions and a continuous commitment to the success of marketing, growth, and editorial initiatives
- Ongoing management and administration of RedOak compliance tool. Be the DRI for the marketing review tool and work with the vendor (RedOak) on any new implementations for the firm, invoicing, etc.
- Maintaining updates to the firm's disclosure library and regulatory style guide, as well as maintaining and updating the marketing and submission guidelines
- Work with internal teams on creating guidelines for new initiatives
- Monitor internal social media channels and website for compliance with firm procedures
- Audit submission queues for compliance assurance
- Train marketing and content submitters on the firm's guidelines and submission tool
- Maintain visibility into marketing focused Slack channels and address requests in a timely manner
- Provide assistance for audit requests from broker dealers and firm asset partners
- File certain advertisement items with FINRA on as needed basis, track comments and implementation
- Review and monitor electronic communications across the organization
- Monthly complaint submissions to FINRA
- Review transactions of employees and customers for risk signal and/or regulatory compliance exceptions
- Manage the FINRA Rule 3210 process end-to-end
- Most importantly, a passion for compliance with a desire to challenge yourself and expand your knowledge in the capital markets
- 2-5 years of securities experience
- Proficiency in understanding and applying FINRA and SEC advertising rules and regulations to securities communications, including those related to equities, fixed income, ETFs, and mutual funds
- Excellent interpersonal skills and a genuine desire to see those around you succeed
- Experience in regulatory compliance surveillance, oversight, or assurance programs
- Natural strong work ethic and ability to remain motivated in an independent work environment
- Exceptional communication skills, high EQ, and the ability to manage multiple projects across stakeholders in a fast-paced environment
- Necessary: FINRA SIE, Series 7 and 63 licensure; FINRA Series 24 licensure strongly preferred or required within 30 days of hire
- Bonus: FINRA Series 4, 53, and/or 86/87 licensure; experience in data driven analysis using visualization tools such as Looker, Tableau, etc.
Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type. We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression.
The pay range for this position in NYC is $85,000 - $110,000/year; however, base pay offered may vary depending on job-related knowledge, skills, and experience. Base pay information is based on market location.