Paralel Technologies
Overview
Direct message the job poster from Paralel Technologies Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship-driven culture to redefine the value proposition for our clients. Paralel Distributors LLC is a limited-purpose broker-dealer, dedicated to supporting our clients through compliance excellence, relationship-driven service, and technology forward operational solutions. We partner with registered and private funds, helping our clients navigate regulatory obligations while achieving their goals. Role Overview
Paralel is seeking a motivated and experienced Senior Compliance Analyst to join our growing company. This individual will serve as a key compliance leader, responsible for reviewing and approving marketing communications for registered and unregistered funds. The role requires a deep understanding of FINRA and SEC regulations and the ability to provide practical, business-oriented compliance guidance to clients. This position will also liaise across other specific roles within our distribution department to ensure optimum transparency. The ideal candidate thrives in a fast-paced environment, is highly organized, and demonstrates strong communication and relationship-building skills. Responsibilities
Review and approve advertising and sales materials (including fund websites, brochures, presentations, fact sheets, and digital media) for compliance with FINRA Rules, the SEC Marketing Rule, internal policies, and applicable securities laws. Act as a primary point of contact for clients on advertising and other distribution compliance matters. Liaise with regulatory bodies on advertising-related matters when necessary. Provide guidance and training to clients and internal teams on marketing rules, policies, and best practices. Maintain and enhance compliance manuals, reference guides, and internal review procedures. Represent Paralel at industry conferences and client events (minimal travel may be asked). Identify opportunities to streamline compliance workflows and improve review processes. Assist with compliance monitoring, reporting, and escalation of issues. Understand client’s needs, goals, and challenges, and proactively offer solutions. Serve as the primary contact for assigned clients, developing trusted relationships. Skills and Qualifications
Minimum 5 years of experience reviewing advertising communications for registered and/or private funds against FINRA and SEC rules. Familiarity with securities laws and regulations pertaining to registered products including FINRA Rules, the Investment Company Act of 1940, the Securities Act of 1933, and the SEC Marketing Rule. Ability to thrive in a highly demanding, entrepreneurial, and fast-paced environment. Ability to manage and prioritize multiple tasks. Strong interpersonal skills. A client-service mentality and collaborative work style. Ability to manage competing priorities and deliver with high quality. Flexible, good tolerance for ambiguity, and able to quickly adapt to changing priorities. A top performer with a proactive approach who has a “doer” and problem-solver mentality. An exceptional team player with strong communication skills. Experience working with, or for, the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory Authority (“FINRA”). A local presence in Denver, CO is preferred, but not required. Compensation
Compensation Range: $80,000 - $110,000 The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications, and other factors. Other Compensation
Performance bonus eligible What We Offer
Employer paid medical options, plus dental and vision coverage Disability, AD&D and life insurance Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan 401(k) match Unlimited PTO, plus 10 paid holidays and generous leave policies Tuition Reimbursement for continued education An energetic team-based culture focused on our values of service to others and to our community On-site gym and yoga studio Work life flexibility Paralel Technologies LLC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal
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Direct message the job poster from Paralel Technologies Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship-driven culture to redefine the value proposition for our clients. Paralel Distributors LLC is a limited-purpose broker-dealer, dedicated to supporting our clients through compliance excellence, relationship-driven service, and technology forward operational solutions. We partner with registered and private funds, helping our clients navigate regulatory obligations while achieving their goals. Role Overview
Paralel is seeking a motivated and experienced Senior Compliance Analyst to join our growing company. This individual will serve as a key compliance leader, responsible for reviewing and approving marketing communications for registered and unregistered funds. The role requires a deep understanding of FINRA and SEC regulations and the ability to provide practical, business-oriented compliance guidance to clients. This position will also liaise across other specific roles within our distribution department to ensure optimum transparency. The ideal candidate thrives in a fast-paced environment, is highly organized, and demonstrates strong communication and relationship-building skills. Responsibilities
Review and approve advertising and sales materials (including fund websites, brochures, presentations, fact sheets, and digital media) for compliance with FINRA Rules, the SEC Marketing Rule, internal policies, and applicable securities laws. Act as a primary point of contact for clients on advertising and other distribution compliance matters. Liaise with regulatory bodies on advertising-related matters when necessary. Provide guidance and training to clients and internal teams on marketing rules, policies, and best practices. Maintain and enhance compliance manuals, reference guides, and internal review procedures. Represent Paralel at industry conferences and client events (minimal travel may be asked). Identify opportunities to streamline compliance workflows and improve review processes. Assist with compliance monitoring, reporting, and escalation of issues. Understand client’s needs, goals, and challenges, and proactively offer solutions. Serve as the primary contact for assigned clients, developing trusted relationships. Skills and Qualifications
Minimum 5 years of experience reviewing advertising communications for registered and/or private funds against FINRA and SEC rules. Familiarity with securities laws and regulations pertaining to registered products including FINRA Rules, the Investment Company Act of 1940, the Securities Act of 1933, and the SEC Marketing Rule. Ability to thrive in a highly demanding, entrepreneurial, and fast-paced environment. Ability to manage and prioritize multiple tasks. Strong interpersonal skills. A client-service mentality and collaborative work style. Ability to manage competing priorities and deliver with high quality. Flexible, good tolerance for ambiguity, and able to quickly adapt to changing priorities. A top performer with a proactive approach who has a “doer” and problem-solver mentality. An exceptional team player with strong communication skills. Experience working with, or for, the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory Authority (“FINRA”). A local presence in Denver, CO is preferred, but not required. Compensation
Compensation Range: $80,000 - $110,000 The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications, and other factors. Other Compensation
Performance bonus eligible What We Offer
Employer paid medical options, plus dental and vision coverage Disability, AD&D and life insurance Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan 401(k) match Unlimited PTO, plus 10 paid holidays and generous leave policies Tuition Reimbursement for continued education An energetic team-based culture focused on our values of service to others and to our community On-site gym and yoga studio Work life flexibility Paralel Technologies LLC is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. Seniority level
Mid-Senior level Employment type
Full-time Job function
Legal
#J-18808-Ljbffr