Our client, a mulit-strategy investment management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will also provide an opportunity to work on generalist compliance responsibilities such as testing and surveillance as well.
Responsibilities:
Act as a key resource on regulatory requirements under the Investment Advisers Act, including the SEC Marketing Rule, and provide guidance on matters impacting marketing and investor communications.
Monitor and interpret new and evolving regulatory requirements, evaluating their potential business and operational implications.
Provide compliance and regulatory review of marketing and fundraising materials for identifying and mitigating legal, regulatory, and reputational risks.
Collaborate with Legal and business stakeholders to support the design, launch, and ongoing management of new products and investment strategies.
Support code of ethics, surveillance, testing and other compliance initiatives.
Requirements:
Bachelor's DegreeSeries 7 and 24 preferred 2-6 years of compliance experience Experience at an investment management firm
