Job offer
Marketing Compliance Officer
The Marketing Compliance Officer is responsible for monitoring and approving marketing materials and communications at Man Group in New York to ensure they comply with regulatory requirements. The position requires at least 3 years of experience in marketing compliance and a broad range of skills, including communication, organization, and legal knowledge.
Tasks
- Coordinate with various teams, including Investment Management Compliance, Marketing, Investment Services, Regulatory Reporting, and Communications, to ensure timely review and approval of communications
- Support in preparing appropriate disclosures
- Implementation of a compliance monitoring program to ensure that marketing materials, policies, and procedures are updated and periodic training is conducted with staff
- Maintain records of all approved materials in accordance with SEC and FINRA recordkeeping rules and internal policies and procedures.
- Work closely with the compliance team and assist with other compliance-related functions and ad hoc projects.
- Support in identifying, analyzing, implementing, and monitoring regulatory initiatives related to sales and marketing
- Support in developing policies and guidelines to ensure that the company has the necessary tools to create compliant marketing materials
Requirements
- 3+ years of experience in marketing compliance at an asset management company
- Current Series 7 and 24 licenses
- Knowledge of the rules and requirements of the Investment Advisers Act of 1940 with regard to marketing and advertising
- Knowledge of FINRA rules and requirements and the Securities Act of 1933 with respect to communications with the public
- Self-motivated with strong organizational, writing, and communication skills
- Ability to work in a fast-paced and dynamic environment and handle multiple tasks simultaneously
- Detail-oriented and effective research skills
- Ability to learn new systems
Salary and benefits
The expected base salary for this position is between $92,000 and $133,000 USD. Our comprehensive benefits include competitive vacation entitlements, pension and life insurance, group health insurance, parental leave, and long-term leave. Depending on location, additional benefits such as private health insurance, gym memberships, and pet insurance may be offered.We offer
A comprehensive benefits package, including:- Competitive vacation entitlements
- Pension and life insurance
- group health insurance
- Parental leave and extended leave
- Private health insurance (depending on location)
- Gym memberships (depending on location)
- Pet insurance (depending on location)
Job details
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