plumRhino Consulting has a long-term contract opportunity for a Business Analyst –Compliance Review located in St. Louis, MO. The ideal candidate will have a Bachelor’s Degree and a minimum of 3 years experience with securities products and services as it relates to advertising and marketing material compliance.

Responsibilities:

• Responsible for reviewing all marketing, client correspondence, and promotional materials to ensure compliance standards and regulatory requirements are upheld


• Review advertising and sales literature for adherence to firm and regulatory policies


• Extensive interaction with internal sales force, home office departments and product areas


• Plan and prioritize multiple projects simultaneously while adhering to a stringent timeline

Requirements:

• 2 years securities industry, Series 7 and Series 24 licenses required


• Knowledgeable in firm and industry policy and procedures and have a strong knowledge of industry products and services


• Knowledge of FINRA and SEC advertising rule a plus


• Strong analytical, verbal and written communication skills with the ability to interpret new and existing regulations as mandated


• Proficient in MS office required

Interested candidates should e-mail their resume as a MS Word attachment to jobs@plumrhino.com with Business Analyst - Compliance Review – St. Louis, MO in the subject line of your e-mail.

plumRhino Consulting is an equal opportunity employer. M/F/V/D