Senior Compliance Analyst, M1 Finance

• FINRA Series 7 and 24 required
• 3-5 years of compliance experience in financial services
• Experience reviewing Marketing material and retail communications
• Excellent verbal and written communication skills with the ability to articulate complex information in a clear and concise manner
• Strong interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization
• Ability to work in a fast-paced environment and handle multiple tasks and deadlines with strong attention to detail

Desirable

• You will play critical role important to the future of M1
• Reporting to our Head of Compliance, you will help business partners navigate the regulatory landscape
• Additionally you’ll have the opportunity to collaborate with and influence people across the company to ensure M1 complies with all applicable laws and regulations
• This variety of work will support M1’s business through contributions in all functions of compliance, including:
• Be a primary resource across M1 product development and operations by providing advice and guidance on regulatory matters and new product opportunities
• Research and respond to regulatory complaints, inquiries, exams, and audits
• Communicate difficult concepts; convert information to compelling business context and advice; influence and gain alignment across increasingly senior stakeholders
• Review advertising and marketing materials as well as other electronic communications pursuant to FINRA and SEC Regulations, internal policies and procedures, and all other applicable guidelines