Marketing Review Compliance Officer
Salary $100,000 - $150,000 per year
Location New YorkFULL_TIME
Consultant Lucky Nguyen
Date posted April 29, 20192019-04-29 2019-06-28 financial-services 7 Times Square New York NY 10036 Robert Walters
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.