Marketing Compliance Officer

Tasks

• Coordinate with various teams, including investment management compliance, marketing, investment services, regulators, and all applicable business units to review and approve all client materials in a timely manner
• Ensure that all communications comply with applicable regulatory guidelines, including SEC, FINRA, NFA, and CFTC rules, laws, and regulations.
• Support in the preparation of regulatory documents
• Implementation of compliance monitoring programs with respect to marketing materials, updating policies and procedures, and coordination with SEC and FINRA recordkeeping rules and internal policies and procedures
• Maintain records of all approved materials in accordance with SEC and FINRA recordkeeping rules and internal policies and procedures.
• Supporting the compliance team and assisting with other compliance-related functions and ad hoc projects
• Support in identifying, analyzing, implementing, and monitoring regulatory initiatives
• Communicate with sales, distribution, and marketing to ensure that the company has the necessary tools to create compliant marketing materials.

Requirements

• 2+ years of experience
• Knowledge of the Investment Advisers Act of 1940 with regard to marketing and advertising
• Knowledge of FINRA and the Securities Act of 1934 with regard to communication with the public
• 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
• Detail-oriented and effective research skills
• Ability to learn new systems

We offer

• Salary: $150,000 - $200,000 USD
• Discretionary variable remuneration
• Comprehensive benefits package, including competitive vacation entitlements, pension/ROTH coverage, life and long-term disability insurance, group and critical illness insurance, and travel insurance
• Flexible work arrangements, such as career breaks and flex time
• Annual "thank you" gift and $200 paid vacation for community service