Senior Distribution Compliance Analyst

Paralel is a FinTech administrator and distributor for registered investment products, including ETFs, closed-end funds and mutual funds. The firm offers full-service fund administration, fund accounting, transfer agency and distribution services from its Denver, Colorado headquarters.Outline of the role:Paralel is looking for an ambitious candidate to join our growing team. The ideal candidate will be excited and eager to wear multiple hats, dive into the broker-dealer landscape, and have a variety of tasks and duties related to the distribution we provide our clients. Rather than having one niche facet, we’re looking for someone willing to diversify their skills and duties.On a daily basis, our department works closely with our clients to ensure all parties adhere to the rules and regulations governing the securities industry. This will involve marketing communications, registered representative activities, or due diligence of intermediaries that we have agreements with. This position will work closely with other team members to perform day-to-day activities involving these various capacities of the broker-dealer and client involvement.This individual will have certain internal responsibilities including working with other Paralel team members to stay abreast of changing regulations affecting broker-dealers and help with the revision, preparation, and dissemination of new and updated compliance policies, procedures, and manuals, among other tasks.Key Tasks and Responsibilities:Review and provide feedback on advertising materials, including fund websites, for 1940 Act as well as private fund marketing materials and confirm communications are in compliance with policies and proceduresCorrespond with applicable regulatory bodies for clarification of advertising regulations as neededReview and process individuals’ FINRA registrations and maintain related recordsSupport the development of training content for our registered representativesHelp build relationships at the intermediary levelAssist with intermediary due diligenceReview and become familiarized with selling agreement language and act as a point of contact between internal and external teams for agreement executionAssist in maintaining internal compliance materials such as manuals, reference material, and reportsPotential for some minor travel to assist with branch office examinationsHelp in identifying efficiencies with compliance monitoring activitiesQualificationsA minimum of 3 years’ relevant experience in fund distribution compliance (advertising or registered representative supervision experience preferred)Series 7 FINRA registration required, Series 24 preferredFamiliarity 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 RulesAbility to thrive in a highly demanding, entrepreneurial, and fast-paced environmentAbility to manage and prioritize multiple tasksA top performer with a proactive approach who has a “doer” and problem-solver mentalityAn exceptional team player with strong communication skillsExperience working with or for the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory Authority (“FINRA”)Compensation Range:$80,000 - $110,000The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications, and other factorsPerformance bonus eligibleWe offer a comprehensive benefits package, including:Employer paid medical options, plus dental and vision coverageDisability, AD&D and Life InsuranceFlexible spending accounts (FSA)401(k) and performance bonus eligibilityUnlimited paid time off and 10 paid holidaysAn energetic and dynamic team-based culture focused on our values of service to others and to our communityHow To Apply

Please send your resume to hiring@paralel.com.

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