Sales and Advertising Compliance Analyst
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all regulatory comments are addressed.
The qualified candidate will possess:
* At least two years of of compliance experience
* Strong knowledge of broker-dealer and investment advisor advertising rules
* Excellent communication skills
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