Marketing Compliance Associate
Vancouver, BCClarity
3+ ansCandidates need three or more years of broker-dealer or investment adviser compliance experience and direct experience reviewing marketing under FINRA Rule 2210 or SEC rules. They also need Series 7 and Series 24, or a willingness to obtain them, plus strong attention to detail and the ability to meet deadlines.
Regulatory compliance, Sales, Attention to detail, Documentation, Meet deadlines, Securities
Compliance Analyst
Vancouver, BCClarity
Clarity asks for strong attention to detail, clear written communication, and the ability to follow documented processes and manage several deadlines. Experience in operations or administration, experience at an exempt market dealer, broker-dealer or registered investment adviser, and a Series 7 are preferred.
Associate, Private Fund Solutions
Vancouver, BCClarity
2+ ansCandidates need 2 to 5 years in sales and trading, investment banking, private placements, consulting, fund administration or a related finance role. They need a track record of lead generation through cold calling, understanding of VC fund and SPV structures, and FINRA Series 7 and 63 registrations or the ability to obtain them within 90 days.
Sales, Cold calling, Communication skills