Marketing Compliance Analyst

Tasks

The responsibilities of a Marketing Compliance Analyst include:

• Review and approval of all public communications, including marketing materials, press releases, fact sheets, requests for proposals, due diligence inquiries, website content, and electronic communications
• Coordinate with various teams, including Investment Management Compliance, Marketing, Investment, and all relevant business units, to review and approve all internal and external communications in a timely manner
• Ensuring that all communications comply with applicable regulatory guidelines, including SEC, FINRA, NFA, CCO, IEEFA, and CFTC rules and laws
• Support in preparing appropriate disclosures
• Assistance with the development and maintenance of marketing materials, updating policies and procedures, and conducting regular training sessions for staff
• Maintain records of all approved materials in accordance with SEC and FINRA recordkeeping rules and internal policies and procedures.
• Work closely with the compliance team and assist with other compliance-related functions and ad hoc requests.
• Support in identifying, analyzing, implementing, and monitoring regulatory initiatives related to marketing
• Support in developing policies and guidelines to ensure that the company has the necessary tools to create compliant marketing materials

Requirements

The requirements for this position are:

• 2+ years of experience in marketing compliance at an asset management firm
• Current Series 7 and 63 licenses, or acquisition prior to the start of employment
• Knowledge of the rules and regulations of the Investment Advisers Act of 1940 relating to marketing and advertising
• Knowledge of the rules and requirements of FINRA and the Securities Act of 1934 regarding the company’s public disclosures
• Knowledge of company policies
• Self-motivated with strong organizational, writing, and communication skills
• Ability to work in a busy environment and multitask, both independently and as part of a team

We offer

We offer:

• A competitive compensation package that includes an annual bonus
• A comprehensive benefits package that includes competitive vacation time, pension and 401(k) contributions, life and long-term disability insurance, and group life and critical illness insurance
• Two annual "Merited" days for collaborative work
• A comprehensive benefits package that includes additional perks such as pre-tax medical coverage, discounted gym memberships, and pet insurance, depending on the location