Job description

A highly successful money management firm seeks a Compliance Officer to oversee and harmonize the global marketing review process and activities. This position can be based in the company’s Stamford, CT or New York City offices.

Here is what you will do:

  • Review marketing material for consistency with US and International regulatory standards
  • Train marketing staff on rules and regulations relating to global marketing material
  • Utilize technology to assist the firm in achieving an efficient marketing material review process
  • Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions
  • Conduct spot checks of business units to verify adequate controls
  • Assist in drafting compliance policies and procedures
  • 3 + years of marketing Compliance review experience
  • Knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts, private placements)
  • Series 7 and Series 24 preferred (or willing to obtain upon joining)
  • Great working knowledge of global securities laws, rules, and regulations relating to marketing material
  • Excellent analytical and writing skills
  • Must demonstrate the willingness to learn and work within a team environment
  • Ability to help troubleshoot and suggest process improvements to processes
  • Meticulous attention to detail, exceptional organization skills
  • Must possess ability to function in a demanding, fast-paced, multi-dimensional role
  • Available for travel
  • Must have proven problem-solving skills
  • High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment
  • Good presentation and public speaking abilities

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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