About this role
Senior Compliance Advisor at Fmr. Location: Smithfield, Rhode Island, United States. Role: monitoring compliance, advising partners, developing disclosures Requirements: Bachelor's degree, 5+ years in financial services, knowledge of FINRA 2210/SEC/IA marketing rules, NFA/CFTC/MSRB as needed; experience reviewing marketing communications; Excel and PowerPoint proficiency; Series 7 preferred. Category: Legal and Compliance Seniority: Senior Level Tools: Microsoft Excel, Microsoft PowerPoint Certifications: series 7 Commitment: Full Time Workplace: Onsite Languages: English