Overview

Our client, an investment management firm, is looking to hire an Advertising and Sales Literature Review Specialist with a strong legal or paralegal background to join their team.

The legal and compliance team is responsible for developing and maintaining the compliance programs of the firm and of their subsidiaries.  Advertising and Sales Literature Review Specialist will primarily support the operations of the firm with a significant focus on conducting the legal review and approval of marketing materials, maintaining the registrations of the firm and its associated persons, and on proactively monitoring for changes in law or regulation affecting the company’s Distributors. Advertising and Sales Literature Review Specialist will need to be comfortable with heavy research & interacting on a daily basis with members of the Sales & Marketing Team in a smaller office environment.

Responsibilities:

Mutual Fund Marketing/Advertising Legal Review

As a member of a Marketing Review Team, support the Senior Compliance Manager in ensuring marketing materials for funds and their use by Sales & Marketing are compliant, including:

  • Proactively monitoring law changes and regulatory developments affecting public communications and marketing activities and working with the Senior Compliance Manager to implement operational changes, guidelines or training materials
  • Reviewing regular quarterly and ad hoc marketing materials for compliance
  • Reviewing Requests for Proposals (“RFPs”), Requests for Information, Due Diligence Questionnaires, and other data requests for compliance and accuracy as they relate to company events, policies or operations
  • Working with the RFP Team to review and update the RFP database, draft responses to new inquiries, and establish a communication channel to ensure business updates are proactively conveyed to the RFP team
  • Collaborating with the Sales & Marketing Team in assessing the viability of new or customized marketing materials, the use of new forums or new ad campaigns
  • Drafting disclosures for inclusion in marketing materials
  • Updating the master database of SEC and FINRA required disclosures in response to new or revised regulations or FINRA comments
  • Assisting in the preparation of “terms of use” guidelines or specific training materials for the Sales & Marketing Team when using specific types of materials
  • Supporting the maintenance of appropriate records for marketing materials

Qualifications:

  • Bachelor’s Degree or equivalent
  • Five or more years of experience as a legal & compliance professional supporting a mutual fund principal underwriter, either in a law firm or as a member of industry, with direct experience reviewing and approving marketing/advertising materials
  • Experience as a paralegal is preferred
  • Experience with applying FINRA rules and knowledge of the Central Registration Depository (“CRD”) system
  • Willingness to successfully complete the FINRA Series 6 and 26 exams as needed to support the job functions if not already registered
  • Experience with applying State blue sky laws is helpful but not required
  • Committed to maintaining the highest ethical standards

 Knowledge, Skills & Abilities Required:

  • Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment
  • Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
  • Responsible for coordinating complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
  • Ability to establish productive working relationships with team members, other teams, external counsel, service providers, Trustees and regulators
  • Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must
  • Demonstrates drive for continuous improvement and pursuit of challenging goals
  • Excellent oral and written communication skills are required
  • Advanced proficiency with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications
  • An interest in the mutual fund industry and understanding of the laws and regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934

Please email resumes to Heather Johnson – Heather@ComplianceSearch.com

 

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