Position Summary

Our client is seeking an Advertising and Marketing Compliance Analyst who will be part of a compliance team responsible for the review of marketing materials for mutual funds, managed accounts, 529 plans and closed-end funds.  The candidate will provide ongoing support and advice to Marketing and Sales to ensure compliance with applicable policies and regulations, particularly FINRA and SEC communication rules.  The candidate will work under the direction and supervision of the CCO of the company and with other attorneys and compliance professionals.

Roles & Responsibilities:

  • Review advertising and sales literature.
  • Ensure sales material complies with FINRA and SEC requirements and is filed in a timely manner with applicable regulatory authorities as required.  Respond to comments and questions from regulators regarding filed materials.
  • Design and implement appropriate policies and procedures pertaining to advertising and sales literature.
  • Provide advice and assistance to the CCO and various businesses by attending meetings, holding ad hoc discussions and delivering training.
  • Stay current with all changes to applicable rules and regulations.
  • Assist with examinations and audits by internal and external parties.
  • Perform special projects and other duties as assigned.

Memberships / Other Key Relationships:

  • Previous legal/compliance experience with a broker-dealer or investment adviser of 3-5 years is desired.
  • Excellent interpersonal, communication, and organizational skills; confidence interacting with all levels of management.
  • Consensus builder and team player with the ability to work well within a matrix organization; experience in dealing with global companies a plus.
  • Must work well under pressure and be able to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines.
  • Service oriented: ability to balance regulatory and policy standards with a business perspective.

Experience / Qualifications and Skills:

  • FINRA Series 7, 24 and 63, highly desirable or the ability to obtain within 3 months of employment.


Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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