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 content, 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, in accordance with SEC, FINRA, MSRB, CFTC, NFA, and other laws and regulations - Assist in the preparation of appropriate disclosures - Assist in the development and monitoring of marketing materials, update policies and procedures, and conduct regular training sessions with staff - Maintain records of all approved materials in accordance with SEC and FINRA record-keeping rules and internal policies and procedures - Work closely with the compliance team and assist with other compliance-related functions as ad hoc requests arise - Assist in identifying, analyzing, implementing, and monitoring regulatory initiatives related to U.S. advertising regulations and oversight - Assist in 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 ability to obtain them within a specified timeframe - Familiarity with the rules and regulations 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 public advertising - Familiarity with marketing compliance and public relations - Self-motivated with strong organizational, writing, and communication skills - Ability to work in a fast-paced environment and multitask, both independently and as part of a team

We offer

- A salary ranging from $100,000 to $140,000 per year - A comprehensive benefits package, including:

• Competitive vacation entitlements
• Pension/401(k) Benefits
• Life and long-term disability insurance
• Group Accident and Travel Insurance

- Flexible work arrangements, including clear career development paths, annual leave, and two annual "mental health" days for collaborative work - An inclusive work environment where you can grow and develop your skills while helping to foster an inclusive environment for everyone in the company and across the industry.