Compliance Associate
Primary responsibilities include reviewing and approving the firm’s marketing and promotional materials distributed to institutional and retail audiences and serving as a subject matter expert for sales and marketing staff throughout LAM. The Compliance Associate will work closely with our sales and marketing teams to ensure all materials meet applicable firm and regulatory standards. This position requires a working knowledge of applicable rules and regulations and industry standards. The Associate will also be involved in other general compliance activities of the Firm’s Legal / Compliance Department.
The candidate will be expected to handle a number of responsibilities successfully,
including:
· Interpret and apply knowledge of rules and regulations to correspondence, sales
literature, advertisements, institutional material, RFPs, and other types of
communication to ensure compliance with applicable regulations
· Review complex materials in a timely manner, communicate comments effectively
and work with business partners for creative solutions to issues
· Maintain high standards for both quality and consistency of review
· Research internal policies and procedures, rules and regulations and act as a
knowledge resource to business partners as necessary
· Assist in preparing regulatory filings
· Identify potential problems and areas of risk, escalate issues as necessary
· Manage small to mid-sized compliance projects to completion
· Monitor changes in the global regulatory environment
· Develop and implement compliance policies and procedures
Qualifications:
· Undergraduate degree in finance, accounting, economics or business
administration, or equivalent financial industry experience
· 3+ years of compliance experience, preferably marketing review experience working with Broker-Dealer and/or Registered Investment Adviser materials
· Extensive knowledge of SEC and FINRA rules relating to the marketing of U.S. mutual funds is required (Investment Advisers Act of 1940, Investment Company Act of 1940)
- Knowledge of FSA requirements relating to financial promotions and/or multijurisdictional knowledge relating to the marketing of UCITS funds is a plus
- FINRA Series 6 and 26 or Series 7 and 24 licenses
- Dedication to quality and strong work ethic
- Ability to manage time effectively and work independently
- Highly organized and detail oriented
- Strong interpersonal and communication skills; uses discretion
- Proficiency in Microsoft Office applications
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