Compliance Specialist

JOB TITLE: Compliance Specialist JOB DESCRIPTION Pioneer Investments, a global Financial Services firm located in downtown Boston, is seeking a Compliance Specialist, Broker/Dealer to begin working immediately. Summary: Using discretion and judgment, ensures that all marketing materials comply with FINRA, SEC and other regulatory guidelines. Negotiates resolutions with external broker/dealers on regulatory and compliance issues regarding sales materials. Negotiates resolutions with Pioneer personnel on outstanding issues regarding sales materials. Assists the Manager Broker Dealer Regulation and Chief Compliance Officer (CCO) with broker-dealer compliance including, but not limited to, continuing education, correspondence review, and sales practice issues.Major Responsibilities: Perform the compliance review of all sales material with respect to all current FINRA, SEC and other pertinent regulatory requirements including external broker/dealer firms’ guidelines. Evaluates and interprets FINRA comments and current regulatory developments to determine whether revisions to materials are required; recommends specific changes and/or actions, interacts and negotiates with all areas of Pioneer. Interacts and negotiates resolutions with external broker/dealer firms’ compliance departments to ensure that sales materials are consistent with the respective firms’ policies and guidelines, as well as, resolving any inquiries regarding FINRA comments on materials. Recommends and drafts new policies and procedures. Communicates policies and procedures to all applicable areas. As applicable, communicates new regulatory developments to all marketing areas and to key personnel and negotiates implementation of resulting changes in policies and procedures. Manages the process of preparing all materials for filing with the FINRA. Evaluates and determines rule under which material should be reviewed by FINRA. Evaluation criteria include the purpose of the material, sales promotion and marketing deadlines, and potential regulatory issues. Keeps abreast of and communicates changes in regulatory rules, guidelines and interpretations affecting sales and marketing materials. Responsible for maintaining information regarding expenditures and FINRA filing fees. Provides compliance-related training to sales and marketing personnel related to areas of responsibility. Assists Manager with annual mandatory compliance meeting and overall continuing education with respect to sales and marketing compliance. Develops meeting agendas, related to written compliance training materials, and oral presentations. Performs review of PFD’s hardcopy correspondence and select electronic correspondence. Participates in specialized projects in the Compliance Department. Performs additional duties as requested.Requirements: Education and Experience: Bachelor's Degree or equivalent work experience. A minimum of six years of industry experience or three years of direct sales and advertising compliance experience. Extensive knowledge of FINRA Rule 2210, SEC Rule 482 and 34b-1. Familiarity with the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, and the Investment Advisers Act of 1940. Skills and Knowledge: Strong computer skills (i.e. spreadsheet and database) are required Ability to conduct large group meetings. Series 6 and 26 and knowledge of applicable FINRA guidelines required Good presentation skills Ability to function with a high degree of independence. Excellent communication, interpersonal and decision-making skills. Willingness to travel to attend relevant regulatory meetings.Competitive salary with full benefits including medical, dental, 401k, tuition assistance, commuter and health club subsidies. http://www.ultirecruit.com/pio1001/jobboard/NewCandidateExt.aspx?__JobID=3998&__jbsrc=AC8BAC9C-4851-4792-8AF7-3D1D817C3E18