Marketing Review Compliance Officer
Salary $100,000 - $150,000 per year
Consultant Lucky Nguyen
Date posted January 18, 20197 Times Square New York NY 10036 Robert Walters United States of America
The Marketing Compliance Analyst will join the core compliance team to work on marketing, advertising and communication review.
- Review and approve investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies. As a registered principal, review and submit Retail Communications and similar retail advertising materials to FINRA.
- 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.
- College degree (required).
- FINRA Series 7 and 24
- Two or more years of compliance experience at a registered investment adviser, preferably one that offers retail products as well as institutional services. An understanding of the asset management business and its product development practices is a plus.
- Experience submitting and working with FINRA’s Advertising Regulation Department.
- Excellent verbal and written communication skills.
- Ability to independently and effectively manage time and prioritize work to meet multiple tight deadlines while paying attention to detail in a fast-paced environment.