Communication Review Officer in Work From Home at TradeStation

Date Posted: 7/9/2021

Job Snapshot

Job Description

Communication Review Officer
At TradeStation, we believe in empowering our customers to claim their individual financial edge. We are committed to creating a financial ecosystem that is a step ahead by delivering the best technology, services, education, and support to traders and investors. We are continuously pushing the boundaries of what is possible, encouraging out-of-the-box thinking and a relentless search for innovation.
We are a team of amazing people who work together in a high-performance, goal-oriented culture to provide our customers with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits, and an unlimited PTO policy.
POSITION SUMMARY:
We are currently seeking a Communication Review Officer within our Marketing Compliance team.  This team monitors and reviews communications to safeguard regulatory and firm policy. The officer will be responsible for aiding in the execution and oversight of firm communications.  Candidates should understand regulatory guidelines for communications with the public (FINRA 2210 and NFA 2-29) while following TradeStation policy. The candidate will handle time-sensitive reviews of marketing and brokerage materials. The team provides training and guidance on relevant regulation to content creators.  The candidate should possess excellent communication and relationship-building skills, be able to articulate messages clearly and comfortably with employees at all levels.  Knowledge of equities and derivative markets is very useful, with cryptocurrency knowledge a plus.
ESSENTIAL JOB FUNCTIONS:
  • Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
  • Perform ongoing monitoring of business partner activities to ensure consistency with regulatory requirements and applicable firm policies and procedures
  • Assist in the drafting of policies and procedures related to marketing and advertising efforts
  • Assist in the design and execution of monitoring activities
  • General knowledge of advanced marketing concepts
  • Maintain documentation, tracking and evidence of reviews completed according to established protocol
  • Collaborate with business partners to resolve compliance issues
  • Provide strong compliance support and execution with respect to all ad-hoc projects
  • Additional tasks and duties as assigned
KNOWLEDGE, SKILLS & ABILITIES:
  • Understanding of the regulatory environment with respect to broker/dealers, including FINRA Rule 2210 and NFA Rule 2-29
  • Ability to understand, interpret and communicate rules and regulations
  • Understanding of various asset classes including equities, options, futures and cryptocurrency
  • Strong communication and interpersonal skills
  • Ability to work with colleagues to devise pragmatic and creative solutions
  • Ability to work both independently and collaboratively
  • Aptitude to identify potential regulatory compliance issues or deviations from internal policies and procedures
  • Ability to work with a sense of urgency and diligence
  • Must exhibit the highest standards of integrity and maintain confidentiality
  • Strong abilities in analytical thinking, problem solving, research, and time management
  • Calm demeanor, tolerance for ambiguity, and confidence
EDUCATION & EXPERIENCE:
  • Undergraduate college degree required
  • 5 years of related work experience
  • Series 7 and 24 registrations required
  • Proficiency in Microsoft Office including Outlook, Word, Excel, and PowerPoint
  • Working knowledge of systems used for electronic message reviews is preferred (Global Relay, Smarsh, or High Bond)