What are the responsibilities and job description for the Compliance Specialist - Advertising position at Ultimus Fund Solutions, LLC?
SUMMARY
The Compliance Specialist - Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review.
KEY ACCOUNTABILITIES
- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.
- May travel for off-site client office exams.
- Conducts various website and internet reviews.
- Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products.
- Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.
WORKING RELATIONSHIPS
May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE
KNOWLEDGE
SKILLS AND ABILITIES
Equivalent education, experience, and KSA's will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
