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

• Collaborate with various teams, including Investment Management Compliance, Marketing, Investment, and all relevant business units, to review and approve all communications in a timely manner
• Ensuring that all communications comply with applicable regulatory guidelines, including those of the SEC, FINRA, NFA, CFTC, and other laws and regulations
• Support in preparing appropriate disclosures
• Assistance with the development and maintenance of marketing materials, updating of policies and procedures, and conducting regular training sessions for employees
• Retention of records of 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 with ad hoc compliance tasks as needed
• Support in identifying, analyzing, implementing, and monitoring regulatory initiatives
• Review of requests regarding usage, distribution, and revalidation
• 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 the ability to obtain them
• Knowledge of the rules and requirements 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 the public distribution of materials
• Strong attention to detail
• 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

• A salary in the range of $100,000 to $140,000 (USD)
• A comprehensive benefits package, including competitive vacation time, a pension/401(k) plan, life and long-term disability insurance, and group life and long-term care insurance
• Depending on the location and position level, additional benefits such as private health insurance, discounted gym memberships, and pet insurance may be offered