Compliance Marketing Review
Position Description
Candidate will review and analyze sales literature and marketing materials for various pooled vehicle products including registered funds, unregistered products and separately managed accounts to assess compliance with FINRA and SEC rules and regulations and internal firm policies. Provide guidance and recommendations to business unit personnel to promote compliance; Submit marketing and advertising materials to FINRA, as required, and facilitate communications between the regulators and the firm.
The candidate will keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place to remain compliant. This individual will work closely with various internal and external parties including Marketing, the Legal Department, the Investment Teams and external regulators such as FINRA and the SEC.*LI-KR
Skills Required
• Excellent communication skills, both written and oral; Strong editorial skills;
• Extensive knowledge of FINRA and SEC regulations that addressing marketing and advertising communications for investment securities;
• Previous advertising/marketing/promotional review experience;
• Expertise in pooled vehicle products including registered funds and alternative investment products such as private equity funds, hedge funds, fund of hedge funds and REITS;
• Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results within a deadline intensive environment;
• Strong analytical and creative problem solving skills; ability to generate creative alternatives to identified issues;
• Ability to balance the business objectives of the marketing clients and the industry and regulatory environment;
• Ability to review complex advertising materials, clearly communicate required edits and corresponding regulatory framework, and
• Strong relationship building skills; ability to develop and foster trust based relationships with the various business lines supported; Ability to influence at all levels without direct authority
• Ability to handle highly confidential and sensitive information;
• Create, update and deliver training for internal clients and other team members regarding applicable laws, regulations, policies and procedures and methods and best practices for preparation and review of advertising
• Series 7 and Series 24 registered
Skills Desired
Proficient in Microsoft Word, Excel, PowerPoint, Outlook and Adobe Acrobat
Leave a Reply
You must be logged in to post a comment.