Overview

A highly successful, 50-year-old money management company seeks a Compliance professional to review advertising, sales literature, and marketing materials.

 Position Summary: The Marketing Compliance Analyst will assist the Global Head of Marketing Compliance Practices in reviewing and approving marketing materials and sales communications.  The focus of the responsibilities will be for mutual fund marketing materials.  The analyst will also assist on related compliance projects and training presentations.

Responsibilities:

  • Review and approve broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies. Review and submit retail advertising materials to FINRA.
  • Diplomatically provide marketing compliance guidance to associates in the Marketing, Product and Sales teams. The ability to research solutions and provide options is critical.
  • Maintain the records of all approved materials as per SEC/FINRA recordkeeping rules and internal policies and procedures.
  • Periodically audit marketing records to ensure it meets the firm’s record retention requirements.
  • Keep abreast of current on regulatory changes impacting marketing and advertising in the U.S.
  • Assist with other aspects of the broker dealer compliance program, as requested.

 

Qualifications:

  • College degree required, MBA preferred.
  • Active FINRA Series 7 and 24 license required.
  • 3 to 5 or more years of compliance experience for a broker dealer, with preference for direct experience reviewing mutual fund products. Experience reviewing separately managed accounts, collective investment trusts and accredited investor products a plus. Knowledge of a wide range of investment products and their related sales practices is an asset for this position.
  • Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public.
  • Knowledgeable in the Investment Advisers Act of 1940 and Investment Company Act as it relates to marketing and advertising.
  • Possess excellent verbal and written communication skills.
  • Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment.

 

Please email resumes to Michael Tuller at MTuller@ComplianceSearch.com.

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.