Brokerage Communications Specialist

Chicago · Denver · Lake Mary, FL · New York, NY · 3+ years experience · Posted Sep 28, 2026

At a glance

The Brokerage Communications Specialist manages the full lifecycle of regulatory customer communications for broker-dealer and affiliated entities.
This role involves collaborating with cross-functional teams to ensure clear, compliant, and timely messaging, including support for high-visibility programs.
The position requires participation in a 24/7 on-call rotation to respond to critical operational events and urgent communications.

Manage the full lifecycle of regulatory mass customer communication campaigns.
Define project scopes, timelines, and communications schedules.
Draft clear customer notices and regulatory messaging.
Participate in a 24/7 on-call rotation for operational incidents.
Coordinate urgent communications with senior leadership.
Validate successful delivery of customer communications using data and reporting tools.
Ensure regulatory compliance for trade confirmations, statements, and disclosures.
Maintain comprehensive delivery evidence for audits, exams, and regulatory reviews.
Partner with Compliance, Legal, and Product teams to manage competing priorities.

Hold active Series 7 and Series 24 licenses.
3+ years of experience in a financial services operations and regulatory compliance environment.
Polished written and verbal communication skills.
Ability to draft clear regulatory notices and present updates to senior leadership.
Strong project coordination and self-starter skills.
Ability to manage multiple concurrent timelines and changing regulatory deadlines.
Experience working with structured data and AI-powered tools to analyze and reconcile datasets.
Bachelor's degree or equivalent practical experience.
Must be a US citizen or lawful permanent resident.