Marketing Compliance Officer
Salary $70000 - $120000 per year
Location New York
Consultant Lucky Nguyen
Date posted June 13, 2017
An asset management firm is looking to hire an additional marketing compliance officer to the core compliance team.
About this Marketing Compliance role:
The Compliance Associate will join the Marketing Compliance team of a large registered investment adviser that offers institutional, retail and alternative investment services across a variety of equity, fixed income and other investment strategies.
- Help administer the Code of Ethics and Personal Investment Policy, including review and approval of employee personal trading and quarterly certification process.
- Review RFPs and DDQs and other questionnaires and certifications and assist with preparation of certain responses to such questionnaires.
- Keep current on regulatory changes and business changes impacting marketing and advertising.
- Assist with other aspects of the compliance program, as requested.
The ideal candidate will have a strong marketing compliance background with an asset manager or broker/dealer.
This role with is with a well known asset manager that has a strong presence across the globe.
If you are looking for a great growth opportunity, this is the role for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900