Compliance Officer, Marketing.
This position is on the Distribution Compliance team and is responsible for supporting the distribution and marketing organizations within the firm.
The primary focus of this role is the review of marketing and advertising materials, including social media. The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment
This is a hybrid work opportunity based in Boston, MA or Chicago, IL
KEY RESPONSIBILITIES
Review & approve marketing materials to ensure compliance with applicable regulations : FINRA, SEC, NFA & GIPS and filing of materials with regulators as needed
Assess how existing regulations apply to various categories of communications including retail communications, institutional sales literature, and internal use only materials
Draft new disclosure language as needed & maintain disclosures libraries
Assist in the development & delivery of training materials
Work collaboratively with the Marketing & Distribution teams on new initiatives, including social media campaigns
Assist with various compliance monitoring activities
Implement and enhance compliance policies, procedures, and processes as requested
Produce team reporting metrics
MINIMUM QUALIFICATIONS
Bachelor’s Degree or equivalent required
A minimum of 5 years of compliance experience in a financial services firm, including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutions
SIE, Series 7, and Series 24 licenses required
Experience operating in a manager-of-managers structure would be a plus
Experience with Red Oak or similar advertising review software a plus
An interest in a compliance career within the financial services industry and understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations
Compliance Officer, Marketing
This position is on the Distribution Compliance team and is responsible for supporting the distribution and marketing organizations within the firm. Review & approve marketing materials to ensure compliance with applicable regulations: FINRA, SEC, NFA & GIPS and filing of materials with regulators a...
Compliance Officer, Marketing
This position is on the Distribution Compliance team and is responsible for supporting the distribution and marketing organizations within the firm. The primary focus of this role is the review of marketing and advertising materials, including social media. ...
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