Communications Compliance Senior Specialist
About the role
The Communications Compliance team ensures our parent company and affiliate entities maintain the highest standards of regulatory and brand integrity. We review, audit, approve, and advise on a wide range of public-facing retail communications, partnering closely with Marketing, Legal, Content, and Compliance teams.
Responsibilities
- Review, analyze, and advise internal clients on the adherence of parent company/enterprise-level communications and certain third party advertising units with compliance and firm guidelines
- Conduct principal-level review and approval of communications to ensure they meet applicable regulatory laws as well as firm standards
- Guide internal stakeholders and teammates on Compliance for projects and deliverables with an enterprise-level lens and perspective
- Attend Communications and Marketing partners staff meetings to provide early advice on parent company communications campaigns and PR strategies
- Draft practical guidelines for internal clients to ensure compliance with regulatory and firm requirements
- Engage internal legal counsel in the process to ensure the appropriate legal discipline opines at the right time
- Develop and implement process and system improvements to increase quality, effectiveness, impact and scalability
Requirements
- A bachelor’s degree or equivalent experience in a legal or compliance role within the financial services industry
- 5+ years of experience in communications compliance or a related function supporting public-facing content
- Knowledge of applicable regulatory frameworks, including FTC, SEC, FINRA, CFTC, FCA, or similar regulatory requirements
- Strong written and verbal communication skills, with the ability to provide clear, practical guidance to diverse business partners
- Ability to effectively manage multiple priorities and adapt to a changing environment-project management skillset is a bonus
- Ability to collaborate cross-functionally with Legal, Compliance, Marketing, Content, Research, Engineering, or similar teams to support compliant communications
- Experience using tools such as Google Workspace, Figma, Red Oak, Tableau, or Coda, and familiarity with AI-enabled business tools such as ChatGPT or Google Gemini in a compliance or business context
Qualifications
- Experience managing multiple priorities and larger, complex compliance projects, independently with shifting deadlines while maintaining attention to detail and documentation standards
Skills
- Strong written and verbal communication skills
- Ability to provide clear, practical guidance to diverse business partners
- Experience managing multiple priorities and adapting to a changing environment
- Collaboration across various departments
- Experience with relevant software and tools
- Ability to engage with legal counsel
Benefits
- Challenging, high-impact work to grow your career
- Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
- Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
- Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more
- Employer-paid life & disability insurance, fertility benefits, and mental health benefits
- Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
Pay
The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process. Base Pay Range Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $115,000—$135,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $101,000—$119,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $89,000—$105,000 USD
Schedule
This role is based in our Menlo Park, CA, New York, NY, and Washington, DC offices, with in-person attendance expected at least 3 days per week.