Marketing Compliance

Our client is an established investment management firm serving institutional and individual investors across a range of strategies. The firm values collaboration, intellectual curiosity and continuous development.

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The RoleOur client is seeking a detail-oriented compliance professional to join its Compliance team, with a focus on marketing review. You will partner with marketing, business development and investment teams to review communications and advise on regulatory requirements and internal standards. The level of the role may be adjusted based on experience.
ResponsibilitiesReview marketing materials, client communications, reports, research and digital content for regulatory and policy complianceAssess materials across a variety of strategies and products against applicable U.S. and non-U.S. rulesReview performance presentations, including hypothetical and other complex performanceGive clear, practical guidance to business and investment teams on advertising and performance reportingMonitor and interpret regulatory developments and translate them into business guidanceSupport the development and updating of policies and proceduresDeliver training and resources to staff on compliance requirements
QualificationsBachelor’s degree3-5 years of xzbcwsv experience reviewing marketing or advertising materials, preferably at an investment adviser or broker-dealerSeries 7 and 24 licensesSolid working knowledge of the SEC Marketing Rule, FINRA communications rules and related guidanceStrong communication, organization and attention to detailAbility to work independently, manage deadlines and give timely, direct adviceSome flexibility outside regular business hours as needed