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Compliance Attorney
Refer job# RRJU148763
 
Compliance Attorney The candidate will be responsible for reviewing and approving all communications related to Sales and Marketing, including: marketing materials, custom requests, factsheets, PowerPoint presentations, requests for proposal, due diligence questionnaires, website content and all electronic communications. Other responsibilities include developing policies and procedures as well as providing internal training on compliance rules and regulations. Responsible for directing, developing, implementing and maintaining compliance monitoring, risk assessments, reporting, testing, tracking and applying regulatory priorities as well as industry best practices. Develop and implement effective policies and procedures reviewing marketing and sales communications in all media forms. Serve as an internal expert resource on industry regulations and guidelines regarding sales and marketing materials. Work with senior leadership, Sales and Marketing departments, and other key constituencies to train, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. Remain current and anticipate changes in the regulatory environment and/or risks to the reputation of the Company. Provide training for leadership and employees regarding compliance policies procedures and regulatory requirements. Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements. Assist regulators, auditors, compliance personnel and business unit management with regulatory exams and inquiries. Provide compliance support for new product initiatives. Assist with the supervision of sales related activities. Keep management informed of area activities and of any significant impacts to the organization. Maintain discretion with regard to the handling of sensitive information. Complete special projects and miscellaneous assignments as required.

The candidate must have J.D. from accredited law school; must be licensed to practice law, preferably in Florida. Should have 3+ years of experience related to FTC compliance review of relevant sales and marketing materials. Must have experience in financial and technical services industries and understanding of securities laws. Should have excellent knowledge of FTC regulations related to telemarketing sales. Must have strong analytical organizational interpersonal and communication skills. Should have ability to write concisely and persuasively. Detail and deadline oriented with the ability to operate effectively in a fast-paced environment is required. Must be adaptable and self-motivated. Must be comfortable working with colleagues in different geographic regions and/or different time zones. Should have proven control mindset ability to design and implement robust procedures. Judicial or regulatory clerkship a plus. Master's Degree focusing on Financial Compliance and Risk Management also a plus. Knowledge of Commodities Futures Trading Commission (CFTC) regulations is required. Experience with the FOREX market a plus. Must have solid experience specializing in FTC Compliance and the ability to research and interpret new rules and regulations. Should have a solid knowledge of the trading functions of the financial services industry, ability to prioritize a high volume of reviews, excellent communication and interpersonal skills, and must work well both independently and as part of a team. Demonstrated organizational and time management skills in a fast-paced, high energy environment required.
 
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