Marketing Compliance Officer - Asset Management - $120k
Salary $100000 - $120000 per year + Bonus
Location New York
Consultant Henry Smith
Date posted May 23, 2017
Top tier Global Asset Management firm requires a compliance officer to cover Marketing Compliance in a growing team.
Top tier Global Asset Management firm requires a compliance officer to cover Marketing Compliance in a growing team. The role will involve providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Marketing, Business Development, and Communications specifically within the Investment Management Industry is required.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams and training critical to the firm’s overall compliance profile.
Duties will entail -
- Key point of contact for the business on all enquiries relating to Marketing Compliance, Communications and Business Development activities
- With support from the manager of the Marketing Compliance, sign off on marketing material and sales pitches & documents
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Assist with running up-to-date training and education throughout the business
- Help the broader compliance team with ad-hoc projects and workstreams
Suitable candidates will possess -
- 4+ years relevant experience in Marketing Compliance gained from an asset management firm
- Series 7 and 63 would be preferred but not mandatory
- Excellent regulatory knowledge, specifically related to Investment Advisers Act of 1940
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority