Communications Compliance Senior Specialist
$115,000–$135,000 year
On-siteChicago, Illinois, United States
Job Summary
Review and advise internal clients on adherence of parent company and enterprise-level communications with compliance and firm guidelines. Conduct principal-level review and approval of communications to ensure they meet applicable regulatory laws and firm standards. Guide internal stakeholders on compliance for projects and deliverables with an enterprise-level lens, attending partner staff meetings to provide early advice on campaigns and PR strategies. Draft practical guidelines for internal clients and engage legal counsel to ensure appropriate legal discipline opines at the right time. Develop and implement process and system improvements to increase quality, effectiveness, impact, and scalability. This role plays a key part in ensuring communications align with FTC, SEC, FINRA, CFTC, FCA, and other applicable regulatory standards while partnering closely with Marketing, Legal, Content, and Compliance teams.
Required Qualifications
- 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
- Experience managing multiple priorities and larger, complex compliance projects, independently with shifting deadlines while maintaining attention to detail and documentation standards
- Ability to effectively manage multiple priorities and adapt to a changing environment
- 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
- Familiarity with AI-enabled business tools such as ChatGPT or Google Gemini in a compliance or business context
- 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
Desired Qualifications
- project management skillset is a bonus
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.