Compliance Principal at Dalmore Group in Denver, Colorado

Job Description:

Job Description

The Compliance Principal uses independent judgment and discretion to ensure regulatory compliance of Regulation A+ and D offerings, and marketing materials. Responsibilities will be DSP, Accredited and non-accredited Investor Review, RR management, and any other requests within reason.

**Must have clean FINRA Series 24 licenses**

Key Responsibilities

• Be the DSP for several Registered Representatives
• Daily interaction with staff concerning advertising review matters, providing advice and guidance to identify and resolve issues
• Monitor compliance and stay current on FINRA, SEC, SIPC, State and internal standards, advising appropriate parties and ensuring materials conform
• Assist with reviewing and recommendation or approvals on advertising-related procedures and manuals
• Conducts self in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules, or Company policies
• Other tasks and duties as assigned

Qualifications (Personal, Educational, Experience)

• Bachelor's degree and 3+ years' compliance or related experience
• FINRA Series 24 required
• Thorough understanding of SEC and FINRA and other complex advertising rules of private placement products
• Ability to interpret rules and regulations and communicate them to others
• Strong organization skills, including the capacity to multi-task
• Excellent analytical, reasoning, and problem-solving skills
• Leadership qualities for establishing a role as point-of-contact for Compliance
• Must be friendly and easy to work with

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