M1 is hiring a
Compliance Advisor

Summary

The job is for a Compliance professional at M1 Finance, a fast-growing fintech company offering personal finance services. The role involves navigating the regulatory landscape, collaborating with various teams, and ensuring compliance with all applicable laws and regulations. The company values diversity and has a remote work policy.

Requirements

• FINRA Series 7 and 24 required
• 5-8 years of compliance experience in financial services
• Experience reviewing Marketing material and retail communications
• Excellent verbal and written communication skills
• Strong interpersonal skills
• Ability to work in a fast-paced environment

Responsibilities

• Be a primary resource across M1 product development and operations by providing advice and guidance on regulatory matters and new product opportunities
• Research and respond to regulatory complaints, inquiries, exams, and audits
• Communicate difficult concepts; convert information to compelling business context and advice; influence and gain alignment across increasingly senior stakeholders
• Review advertising and marketing materials as well as other electronic communications pursuant to FINRA and SEC Regulations, internal policies and procedures, and all other applicable guidelines

Benefits

• Competitive Pay and Stock Options
• Comprehensive health, dental, vision, disability, and life insurance