Marketing Compliance Officer

Tasks

• Coordinate with various teams, including investment management compliance, marketing, investment services, regulatory authorities, and all applicable business units to review and approve all marketing materials in a timely manner.
• Ensure that all communications comply with applicable regulatory guidelines, including SEC, FINRA, NFA, CFTC, sales laws, and regulations.
• Support in preparing regulatory disclosure documents
• Implementing compliance monitoring programs for marketing materials, updating policies and procedures, and ensuring compliance with requirements
• Retention of records of all approval materials in accordance with SEC and FINRA recordkeeping rules and internal policies and procedures
• Collaborating with the compliance team and supporting other compliance-related functions and ad hoc projects

Requirements

• 3+ years of experience and 7 licenses
• Current Series 7 and 24 licenses
• Product knowledge of the roles and requirements of the Investment Advisers Act of 1940 with regard to marketing and advertising
• Knowledge of FINRA rules and regulations and the Securities Act of 1934 relating to communications 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 in the range of $175,000 - $250,000 USD
• Discretionary bonus
• Comprehensive benefits package, including competitive vacation entitlements, pension/RDF, life and long-term disability insurance, group accident and travel insurance
• Opportunities for advancement through professional development opportunities
• Six days of paid leave for community service
• Private health insurance, discounted gym memberships, and pet insurance