Marketing Compliance Specialist / Sr. Marketing Compliance Specialist

Job Description

Job Description

Resolute Investment Managers, Inc. Marketing Compliance Specialist / Sr. Marketing Compliance Specialist

Resolute Investment Managers, Inc. ("Resolute") is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers.

The clients of Resolute and our affiliates include corporate defined benefit plans, institutions and individual investors.

We trace our history to 1986 when an affiliate, American Beacon Advisors, Inc. (formerly AMR Investment Services, Inc.), began providing investment management services as an independently operated entity.

Since 1987, American Beacon Advisors has managed the American Beacon Funds family of mutual funds. Over the years, American Beacon has built a reputation for innovative thinking, discipline and prudent investing, which has led to several prestigious awards for its pension management, cash management and mutual fund investment services.

Today, Resolute is a privately held organization owned by a consortium of investment funds affiliated with leading financial institutions.

In December 2023, Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments for the fifth consecutive year.

Learn more about our company by visiting www.resolutemanagers.com

Our office is located in Las Colinas, Texas. This position will have the following consideration :

Hybrid : In office, currently Monday-Tuesday-Wednesday each week, with the option to work from home on Thursday and Friday.

Job Description :

The Marketing Compliance Specialist is responsible for implementing procedures and controls for Resolute Investment Distributors, Inc.

and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and other applicable regulatory agencies.

Key Responsibilities

• Assist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements
• Assist with FINRA registration requirements for the broker dealer and its registered representatives
• Under the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representatives
• Review marketing materials to ensure compliance with applicable regulatory requirements, including FINRA Rule 2210 and the SEC Marketing Rule for registered investment advisers
• Conduct testing to monitor compliance with established procedures
• Review mutual fund disclosure documents for consistency with regulatory requirements
• Participate in assessments of new rules and regulations
• Participate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment products
• Maintain accurate and complete books and records

Requirements

• Bachelor's degree or commensurate work experience
• At least two years of experience at a broker-dealer, investment adviser or regulatory agency
• FINRA License Series 7 and 63 (Required within 3 months of hire if not already obtained)
• Exceptional proofreading skills and attention to detail
• Excellent organizational skills

Preferred Qualifications

• Prior experience reviewing marketing materials for a broker-dealer or investment adviser
• Working knowledge of the federal securities laws as they apply to broker-dealers
• FINRA Series 24 or 26 (Required within 6 months of hire)

LI-Hybrid

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