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, regulatory reports, 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 Solutions, and all relevant business units, to review and approve all internal and external communications in a timely manner * Ensure that all communications comply with applicable regulatory guidelines, including SEC, FINRA, NFA, CFTC, CCO, and other regulatory requirements * Assist in the preparation of appropriate disclosures * Assisting in the development and ongoing review of marketing policies and procedures, and conducting periodic training for staff * Maintaining records of all approved materials in accordance with SEC and FINRA record-keeping rules and internal policies and procedures * Working closely with the Compliance team and assisting with other compliance-related functions as needed * Assisting with the identification, analysis, implementation, and monitoring of regulatory initiatives * Assisting with the development of policies and guidelines to ensure 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 the most recent/valid certification obtained within the past six months * Familiarity with the rules and requirements of the Investment Advisers Act of 1940 regarding marketing and advertising * Familiarity with the rules and requirements of FINRA and the Securities Act of 1934 regarding marketing and advertising to the public * Good knowledge of applicable U.S. and other relevant laws and regulations * Self-motivated with strong organizational, writing, and communication skills * Ability to work in a busy environment and handle multiple tasks simultaneously, both independently and as part of a team

Compensation and benefits

* The salary for this position ranges from $100,000 to $140,000 USD * The compensation package also includes a discretionary bonus * Our comprehensive benefits package includes competitive paid time off, retirement/401(k) benefits, life and long-term disability insurance, flexible work hours, and generous parental leave * Depending on your location, you may also receive additional benefits such as pre-tax medical coverage, discounted gym memberships, and pet insurance

Equal opportunity

Man Group offers equal employment opportunities to all applicants and employees, regardless of race, color, creed, national origin, ancestry, religion, disability, age, gender identity and expression, marital status, sexual orientation, veteran or military status, or any other legally protected category or status, as provided by applicable federal, state, and local laws.