Marketing Compliance

Our client is an established investment management firm serving institutional and individual investors across a range of strategies. The firm values collaboration, intellectual curiosity and continuous development.

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The Role

Our client is seeking a detail-oriented compliance professional to join its Compliance team, with a focus on marketing review. You will partner with marketing, business development and investment teams to review communications and advise on regulatory requirements and internal standards. The level of the role may be adjusted based on experience.

Responsibilities

• Review marketing materials, client communications, reports, research and digital content for regulatory and policy compliance
• Assess materials across a variety of strategies and products against applicable U.S. and non-U.S. rules
• Review performance presentations, including hypothetical and other complex performance
• Give clear, practical guidance to business and investment teams on advertising and performance reporting
• Monitor and interpret regulatory developments and translate them into business guidance
• Support the development and updating of policies and procedures
• Deliver training and resources to staff on compliance requirements

Qualifications

• Bachelor's degree
• 3-5 years of xevrcyc experience reviewing marketing or advertising materials, preferably at an investment adviser or broker-dealer
• Series 7 and 24 licenses
• Solid working knowledge of the SEC Marketing Rule, FINRA communications rules and related guidance
• Strong communication, organization and attention to detail
• Ability to work independently, manage deadlines and give timely, direct advice
• Some flexibility outside regular business hours as needed