Marketing Compliance Analyst

Purpose

We are looking for a Marketing Compliance Analyst to review and approve all public communications, including but not limited to marketing materials, social media posts, fact sheets, requests for proposals, due diligence inquiries, website content, and electronic communications.

Specific tasks

• Coordinate with various teams, including Investment Management Compliance, Marketing, Investment, and Wealth Management, as well as all relevant business units, to review and approve all internal and external communications in a timely manner
• Ensure that all communications comply with regulatory guidelines, particularly the rules of the SEC, FINRA, NFA, CFTC, and other applicable regulations
• Support in preparing appropriate disclosures
• Assistance with developing and reviewing changes to marketing materials, updating policies and procedures, and conducting regular training sessions for employees
• Retention of records for all approved materials in accordance with SEC and FINRA record-keeping rules and internal policies and procedures
• Close collaboration with the compliance team and support for other ad hoc compliance-related tasks
• Assistance with the identification, analysis, implementation, and monitoring of regulatory initiatives related to U.S., U.K., and other applicable regulations
• Support in developing policies and guidelines to ensure that the company has the necessary tools to create compliant marketing materials

Key competencies

• 2+ years of experience in marketing compliance at an asset management firm
• Current Series 7 and 63 licenses (or must be obtained within a specified period)
• Knowledge of the rules and regulations of the Investment Advisers Act of 1940 regarding marketing and advertising
• Knowledge of the rules and requirements of FINRA and the Securities Act of 1934 regarding communications with the public
• Extensive knowledge of U.S. security laws
• 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

Compensation and Benefits

The expected base salary range for this position is $100,000–$140,000. The compensation package also includes a discretionary bonus. Our comprehensive benefits package includes competitive vacation time, retirement/401(k) contributions, life and long-term disability insurance, group accident and life insurance, and generous parental leave. Depending on your location, you may also enjoy additional benefits such as private health insurance, discounted gym memberships, and pet insurance.