Marketing Compliance Analyst

Purpose of the role

The Marketing Compliance Analyst reviews and approves all public communications, including, but not limited to, marketing materials, monthly reports, fact sheets, requests for proposals, due diligence inquiries, website content, and electronic communications.

Specific responsibilities

• Coordinate with various teams, including Investment Management Compliance, Marketing, Investment Services, regulatory staff, and all relevant business units, to review and approve communications in a timely manner
• Ensure that all communications comply with applicable regulatory guidelines, including those of the SEC, FINRA, NFA, CFTIC, and tax laws and regulations
• Assistance in reviewing appropriate disclosures
• Assistance with monitoring the compliance program regarding marketing materials, updating policies and procedures, and carrying out ad hoc projects
• Maintaining records of all approved materials in accordance with SEC and FINRA record-keeping rules and internal policies and procedures
• Closer collaboration with the compliance team and support for other compliance-related functions and ad hoc projects
• Support in identifying, analyzing, implementing, and monitoring regulatory initiatives in the areas of sales and marketing
• Assistance in developing policies and guidelines to ensure that the company has the necessary tools to create compliant marketing materials

Key competencies

• 1–2 years of experience in marketing compliance at an asset management firm
• Current Series 7 and 24 licenses, or passing the exams within 6 months of hire
• Familiarity with the role and requirements of FINRA and the Securities Act of 1933–1934 regarding marketing and advertising
• Familiarity with the role and requirements of FINRA and the Securities Act of 1933–1934 regarding public communications
• Self-motivated with strong organizational, writing, and communication skills
• Ability to work in a dynamic environment and handle multiple tasks both independently and as part of a team

Compensation and benefits

The compensation for this role includes a salary ranging from $100,000 to $150,000 USD. The comprehensive benefits package includes, among other things:

• Vacation Entitlement Subject to Contributions
• Access to health insurance and other benefits
• Enhanced Pension Plan and Long-Term Leave of Absence