Manager of Distribution Services

Location

Denver, CO

Paralel is seeking a motivated and experienced Manager of Distribution Services to join our growing company. This individual will serve as a key compliance leader, responsible for reviewing and approving marketing communications for registered and unregistered funds. This role requires a deep understanding of FINRA and SEC rules and regulations and the ability to provide practical, business-oriented compliance guidance to clients.

This position will also liaise across other specific roles within the broker dealer to ensure optimum transparency and client service. The ideal candidate thrives in a fast‑paced environment, is highly organized, and demonstrates strong communication and relationship‑building skills.

• Review and approve advertising and sales materials (including but not limited to, fund websites, brochures, presentations, fact sheets, and digital media) for compliance with FINRA Rules, the SEC Marketing Rule, internal policies, and applicable securities laws.
• Supervise and train staff to conduct marketing compliance reviews.
• Act as a primary point of contact for clients on advertising and other distribution compliance matters.
• Liaise with regulatory bodies on advertising‑related matters when necessary.
• Provide guidance and training to our clients and internal teams on marketing rules, policies, and best practices.
• Develop internal policies and procedures with respect to marketing and other related compliance matters, and assist with maintaining broader compliance policies and procedures, all consistent with current regulatory guidance.
• Develop educational materials and training for our staff and clients with respect to marketing regulations and protocols.
• Assess current and prospective regulatory risk through industry interaction and research.
• Maintain and enhance compliance manuals, reference guides, and internal review procedures.
• Represent Paralel at industry conferences and client events (some travel may be requested).
• Drive process improvement, documentation, and workflows.
• Assist with compliance monitoring, reporting, and issue escalations.
• Understand client’s needs, goals, and challenges, and proactively offer solutions.
• Assist with other day‑to‑day compliance matters within the broker‑dealer as needed.

• Minimum 7 years of experience reviewing advertising communications for registered and/or private funds against FINRA and SEC rules.
• Familiarity 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 Rule.
• Ability to thrive in a highly demanding, entrepreneurial, and fast‑paced environment.
• Ability to manage and prioritize multiple tasks.
• Strong interpersonal skills.
• A client‑service mentality and collaborative work style.
• Ability to manage competing priorities and deliver with high quality.
• Flexible, good tolerance for ambiguity, and able to quickly adapt to changing priorities.
• A top performer with a proactive approach who has a “doer” and problem‑solver mentality.
• An exceptional team player with strong communication skills.
• Experience working with, or for, the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory Authority (“FINRA”).
• A local presence in Denver, CO is preferred, but not required.

• $115,000 - $145,000
• The actual salary offer to the successful candidate will be based on job‑related education, training, industry experience, certifications, and other factors.

• Performance bonus eligible

• Employer‑paid medical options, plus dental and vision coverage
• Disability, AD&D and life insurance
• Flexible spending accounts (FSA);
  Health savings account (HSA) for high deductible medical plan
• 401(k) match
• Unlimited PTO, plus 10 paid holidays and generous leave policies
• Tuition Reimbursement for continued education
• An energetic team‑based culture focused on our values of service to others and to our community
• On‑site gym and yoga studio
• Work‑life flexibility

Paralel Technologies LLC is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.