[Remote] Compliance Officer (REMOTE): Communications w/the Public

Note: The job is a remote job and is open to candidates in USA. Axtella, LLC provides business servicing needs to financial professionals across the United States. They are seeking a FINRA Series 24-licensed individual to conduct first-line reviews of public-facing materials and ensure compliance with relevant regulations. Responsibilities • Conduct first-line review of public facing material such as social media, electronic correspondence, advertising, public appearances, websites, and sales literature • Answer questions related to FINRA, SEC, and firm policies relating to Communications • Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis • Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner • Collaborate interdepartmentally to identify and solve issues based on Financial Professional and Axtella needs • Participate in initiatives to continuously improve policies and procedures • Contribute to various ad hoc projects as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more Skills • Bachelor's degree or 4 years of direct compliance-related experience • 2+ years' experience in a related position • Licenses/Certifications: Series 7, Series 24 • Experience with Global Relay and Red Oak Advertising Module strongly preferred • Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments as they pertain to marketing towards the public • Experience with various computer software including arenaflex Excel and Outlook Benefits • Competitive wages • Comprehensive benefit package • Paid time-off • Wellness benefits • Paid tuition/education benefit • Retirement plan, with employer match Company Overview • Axtella supports the financial network of broker-dealers Sigma Financial Corporation and Parkland Securities, LLC, and a registered investment advisor, Sigma Planning Corporation, and serves a growing network of experienced financial professionals. It was founded in 1983, and is headquartered in Ann Arbor, Michigan, USA, with a workforce of 51-200 employees. Its website isApply Now

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