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 communications 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 disclosures
• Monitoring compliance programs with regard to marketing materials, updating policies and procedures, and conducting compliance reviews with senior management
• 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

Requirements

• 3+ years of experience
• Current Series 7 and 24 licenses
• Knowledge of the roles and requirements of the Investment Advisers Act of 1940 with regard to marketing and advertising
• Knowledge of the roles and requirements of FINRA and the Securities Act of 1934 with regard 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: $120,000 - $185,000 per year
• Shares: $20,000–$30,000
• Work-life balance and benefits at Man Group
• Comprehensive benefits package, including competitive vacation entitlements, pension/RRSP, life and long-term disability insurance, group RRSP, and savings plan
• Depending on the location, additional benefits such as private health insurance, discounted gym options, and pet insurance may be offered.