Associate, Compliance Marketing Review

Responsibilities

• Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
• Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
• Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
• Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
• Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
• Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.

Requirements

• Bachelor's degree
• 3-5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
• Series 7 and 24 licenses required
• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
• Well organized, strong communication skills, detail-oriented and responsive
• Ability to provide accurate, direct and practical advice in a timely fashion
• Proactive time management skills and the ability to manage projects independently
• Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment
• Role requires work outside of regular business hours on an as needed basis, including monitoring email during evenings and weekends

Benefits

• We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.