Compliance Asset Management / Broker-Dealer
The broker-dealer distributes US mutual funds and private placement funds. The broker-dealer has also applied to be registered in Canada as an Exempt Market Dealer to distribute Canadian private funds.
Responsibilities:
Workload Management
• Review mutual fund, closed-end fund and institutional marketing material for accuracy and compliance with regulatory and GIPS requirements, including websites, consultant databases and social media.
• Submit marketing material to FINRA (FINRA Rule 2210)
• Assist with the development and implementation of compliance programs including writing policies and procedures
• Clearly and effectively communicate compliance policies internally
• Review e-mail/communications.
• Responsible for providing advice and guidance to the business on product changes, and new products or in any other aspect of the business requiring compliance input
• Assist in testing, reviewing and improving supervisory procedures and processes to ensure that the oversight of the Broker Dealer meets or, wherever possible, exceeds industry standards
• Assist in maintaining Canadian compliance program requirements with respect to the sales of private funds in Canada, including marketing material requirements, filing requirements and other regulatory requirements.
• Conduct compliance training
Regulatory
• Assist in the reviewing / implementing changes in regulation / policy
• Assist in preparation in the event of a regulatory audit / examinations.
Qualifications:
• Minimum 2 years’ experience
• Series 7 and 24 required.
• Familiarity with broker dealer regulation including SRO and state requirements.
• Strong written/verbal communication skills and an ability to evaluate and manage multiple important priorities
• Past experience with advertising (FINRA Rule 2210) submissions and approval process.
• Willingness to take and pass certain exams to support our Canadian fund business (Partners/Directors/Officers exam and the New Entrants exam)
• Familiarity with Microsoft applications
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com
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