Compliance Professional - Marketing Review
jw michaelsNew York, NY
Compliance Professional - Marketing Review
jw michaelsNew York, NYSenior L5
Investment Banking and Securities IntermediationOther Services Related to AdvertisingPortfolio Management and Investment Advice
APPLY NOWAbout the Role:
Our client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.
Responsibilities:
- Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations
- Maintain records of reviewed materials per recordkeeping requirements
- Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)
- Monitor regulatory developments and assist with exam responses
- Train marketing and sales staff on compliance requirements
- Partner with legal, marketing, and investment teams to resolve compliance issues
Qualifications:
- Bachelor's degree 5+ years in compliance or marketing review within asset management
- Strong knowledge of SEC/FINRA marketing and advertising regulations
- Series 7 and 24 preferred
- Strong attention to detail and communication skills
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Level
Senior L5
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
9 days ago