Job Details
Level: Experienced
Job Location: Dallas, TX 75240
Position Type: Full Time
Education Level: 4 Year Degree
Job Shift: Day
JOB OVERVIEW
The Regulatory Communications Output Management Lead is responsible for overseeing the creation, review, distribution, and retention of all regulatory communications and disclosures required by federal securities laws, FINRA, and SEC rules. This role ensures that all client-facing regulatory notices comply with applicable regulations, while maintaining operational efficiency and data integrity.
RESPONSIBILITIES & DUTIES
Manage the end-to-end process for regulatory communications, including trade confirmations, statements, prospectuses and notices.
Ensure compliance with SEC, FINRA, and other applicable regulatory requirements for communication content and delivery.
Maintain accurate records of all communications in accordance with SEC Rule 17a-3 and 17a-4 retention requirements.
Oversee systems for archiving and retrieval of communications for audits and regulatory inquiries.
Implement controls to prevent unauthorized changes to regulatory outputs.
Conduct periodic reviews and testing of communication templates and distribution processes.
Collaborate with IT and third-party vendors to ensure secure and compliant output management systems.
Drive automation initiatives for communication workflows while maintaining regulatory integrity.
Monitor regulatory developments and update communication processes accordingly.
Prepare reports for internal governance and regulatory examinations.
Respond to inquiries from regulators regarding communication practices and recordkeeping.
Performs other duties as assigned
QUALIFICATIONS
Bachelor’s degree in Finance, Business, or related field; advanced degree or compliance certification (e.g., CRCP) preferred.
7+ years of experience in broker-dealer operations, compliance, or regulatory communications.
Strong knowledge of SEC Rules 17a-3, 17a-4, 10b-10, FINRA rules 2231, 2232, and related recordkeeping and delivery requirements.
Familiarity with self-clearing broker-dealer systems and processes.
Excellent project management and communication skills.
Proficiency in regulatory technology platforms and output management tools.
PROFESSIONAL CERTIFICATIONS
If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.
TECHNICAL SKILLS
To be successful in this role, you should have experience with and an understanding of the following:
Intermediate-level proficiency with Microsoft Office
Experience working with a CRM, preferably Salesforce
CULTURAL COMPETENCIES
Innovayte is dedicated to building an environment where each team member can thrive, contribute meaningfully, and grow professionally and personally. We believe that our core values—rooted in
respect,
empowerment,
service
innovation,
integrity,
trust, and
accountability
are essential to achieving our mission. These values guide us in everything we do, from daily interactions to strategic decisions. We’re looking for individuals who not only share these principles but are excited to bring them to life in meaningful ways.
PHYSICAL DEMANDS/WORK ENVIRONMENT
This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.
DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT
The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.
Qualifications